John Carl

Case of the Week: When is a Safe Harbor 401(k) Not so Safe?

By John Carl | 6/10/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with an advisor in Ohio is representative of a common inquiry... READ MORE

Case of the Week: The IRS and SIMPLE IRA Plan Audits

By John Carl | 6/3/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with an advisor in Mississippi is representative of a common... READ MORE

Case of the Week: Fiduciary Considerations When Shifting Benefit Payment Obligations to an Insurer

By John Carl | 5/27/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Michigan is representative of a... READ MORE

Case of the Week: Foreign Account Tax Compliance Act

By John Carl | 5/21/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with an advisor in Minnesota is representative of a common... READ MORE

Case of the Week: Employer Securities and the Moench Presumption

By John Carl | 5/13/2014

Case of the Week: Bankruptcy Protection for Retirement Plan Assets

By John Carl | 5/7/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with an advisor in Massachusetts is representative of a common... READ MORE

Case of the Week: Locating Missing Plan Participants

By John Carl | 4/29/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with an advisor in California is representative of a common... READ MORE

Case of the Week: 408(b)(2) Service Provider Disclosures

By John Carl | 4/23/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Colorado is representative of a... READ MORE

Case of the Week: Retroactive Social Security Payments After Delay

By John Carl | 4/15/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in North Carolina is representative... READ MORE

Case of the Week: Advisors’ Considerations for Rollover Discussions

By John Carl | 4/9/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Louisiana is representative of a... READ MORE

Case of the Week: Proposed $3.2 Million Cap on Retirement Savings

By John Carl | 4/2/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Massachusetts is representative of... READ MORE

Case of the Week: DOL's No. 1 Investigation Issue

By John Carl | 3/26/2014

Case of the Week: State Retirement Plan Proposals

By John Carl | 3/18/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Texas is representative of a... READ MORE

Case of the Week: IRA Owners Should Get to Know Form 8606

By John Carl | 3/12/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Pennsylvania is representative of... READ MORE

Case of the Week: When 401(k) Participants Have Proxy Voting Rights

By John Carl | 3/5/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in North Carolina is representative... READ MORE

Case of the Week: What’s a ‘Successor Plan’?

By John Carl | 2/25/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Ohio is representative of a... READ MORE

Case of the Week: What Pension De-risking Means

By John Carl | 2/19/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Michigan is representative of a... READ MORE

Case of the Week: Amending 401(k) Plans for In-plan Conversions

By John Carl | 2/12/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in Ohio is representative of a... READ MORE

Case of the Week: Little Known Correction Exception for Missed 401(k) Deferrals

By John Carl | 2/5/2014

The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and qualified retirement plans. A recent call with a financial advisor in the state of Washington is... READ MORE

Case of the Week: ‘True Up’ Matching Contributions

By John Carl | 1/29/2014

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