TRUST,FIDUCIARY DUTY EXPERT WITNESS, NASD, ERISA

Independent Qualified Fiduciary Expert

Assessments | Consulting | Training | Expert Witness

Breach of Fiduciary Duty->Liability->Damages->Expert Testimony and Reports

Are you a trustee, ERISA pension plan or 401k plan sponsor? Or a trustee of non-profit organization, foundation or endowment? Fiduciary management of assets in trust rests on your shoulders, with personal responsibility. The 2006 Pension Protection Act requires an audit by a Qualified Fiduciary Expert when ERISA 401k Plan Sponsors choose a Qualified Fiduciary Adviser to provide investment advice to participants or use a computer asset allocation model. Prudent fiduciary governance process selects, monitors, certifies and audits the computer model. Fiduciary training of Trustees and ERISA Plan Sponsors can improve performance, meet fiduciary responsibilities and protect against breach of fiduciary duty.

Are you a trust beneficiary, employee covered by an ERISA pension, 401k plan participant or a financial supporter of a non-profit? Imprudent fiduciary management may lead to Investment losses, Fraud, Unsuitable investments, excessive 401k plan fees, incomplete or untimely trust accountings or self dealing which may be addressed by an Accredited Investment Fiduciary Analyst™ who can help trace and explain these issues.

Expert Witness litigation support for matters in Trust, Estate and Probate; ERISA pension, profit sharing and 401k plans; NASD (FINRA) arbitrations and State and Federal Regulatory, SEC and NYSE investigations and disputes involving trustees at 501 c-3 Non-profit organizations, Foundations & Endowments; even certain family law issues. Fiduciary duty remains even if a trustee delegates to a stock broker, investment adviser or manager.

What is the main purpose of an Investment Policy Statement? An investment policy statement catalyzes the purposes, terms and interests of beneficiaries of the trust, pension plan or 401k to the investment regime. The IPS is like a blueprint and lays out an oversight process. An investment policy statement should list all fiduciaries, functions and monitoring procedures. Prudent fiduciary conduct for trustees draws from the Plan document, Trust instrument, UPIA, ERISA, UPMIFA or UMPERs including diversification, asset allocation, balancing risk and reward, income versus growth, rebalancing, cash flows, taxes, inflation, trust accountings and record keeping using proper care, skill, caution, loyalty and impartiality in the sole interests of beneficiaries and plan participants.

"The majority of Fiduciary compliance is controllable"

FiduciaryCHIROPRACTIC™

Examines account agreements & statements for alignment with the interests of

Trust Beneficiaries and ERISA Pension, Profit Sharing and 401k Plan Participants.

The following fiduciary services may be of interest to trustees:

Fiduciary Assessment for Trustees, Investment Advisers and Investment Managers
FiduciaryRx™
FiduciaryYEARBOOK™
FiduciarySCORECARD™

Expert Witness Litigation, Arbitration & Mediation Support

for Individuals and Class Action matters

Expert Witness Litigation Support for plaintiffs or defense counsel in the FiduciaryTHEATER(tm) including co-fiduciaries.

FiduciaryFORENSICS™, discovery probe of activity in the FiduciaryTHEATER™
Investment Fiduciary Compliance Analysis
QDRAb4QDRO™, Qualified Domestic Relations Audit before QDRO. Fiduciary assessment and damages calculation of an ERISA pension or 401k plan where the opposing spouse in the divorce is self-employed, or operates a closely-held business or professional practice. The opposing spouse may be the plan's fiduciary. ERISA requires the fiduciary and co-fiduciaries to administer the plan for the exclusive purpose of providing benefits. Breach of fiduciary duty may result in losses and or poor investment performance, creating an arguable surcharge against the responsible spouse for harm to community.

Note: Fiduciary Expert Analytics applies to any type of account, investment or asset deemed subject to a fiduciary standard of care.

CHRIS MCCONNELL & ASSOCIATES does not sell investments, insurance or provide investment, legal or tax advice. And to preserve independence does not accept referral fees, commissions, finders or asset placement fees of any kind.

Please consult your legal, tax and investment adviser for appropriately tailored advice.

This website is published for general informational purposes only.

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