News & Insights: Fiduciary Duty

SEC Institutes Order Against Firm for Breaching Fiduciary Duty and Undisclosed Conflicts of Interest

On June 8, 2026, the SEC announced settled charges against an investment adviser and its former CEO for breaches of fiduciary duty and other violations. According to the order, the firm failed to disclose conflicts of interest connected to investments it recommended to advisory clients. 

DOL Proposes Alternative Asset Rule for 401(k) Plans

On Monday, March 30, 2026, the Department of Labor (“DOL”) proposed a rule that would establish a framework for expanding access to alternative investments in 401(k) retirement plans.

Judge Stays DOL Fiduciary Rule: How to Prepare During Extended Litigation

On July 26, 2024, a U.S. judge ordered a stay of proceedings that blocked the Department of Labor (DOL) Fiduciary Rule from taking effect. The rule and the amended DOL PTE 2020-02 protection would have taken effect starting September 23, 2024.

DOL Finalizes New Fiduciary Rule: The Retirement Security Rule and Amended PTE 2020-02 to be Added to Federal Register

On April 23, 2024, the White House announced that the Department of Labor (“DOL”) has finalized its Retirement Security Rule, also known as the “Fiduciary Rule.” The new rule extends the current definition of “investment advice fiduciary” under ERISA to include advisers when they “give investment advice for a fee to retirement plan participants, individual retirement account owners and others.” The rule and related exemptions will be effective on September 23, 2024, with a phase-in period for many of the exemptions and reporting requirements of one year until September of 2025.

DOL Announces Proposed Rule: Updated “Investment Advice Fiduciary” Definition, Expanded Scope of Current Fiduciary Requirements

On October 31, 2023, the Department of Labor proposed a new rule that would extend the current definition of “investment advice fiduciary” to include advisers when they “give investment advice for a fee to retirement plan participants, individual retirement account owners and others,” according to the DOL’s Press Release.

DOL Voluntarily Dismisses Appeal to Defend DOL PTE Fiduciary Guidance

The Department of Labor (DOL) voluntarily dismissed its appeal of the district court decision that struck down the DOL’s fiduciary reinterpretation of fiduciary status for advisers making rollover recommendations to retirement investors. 
  • DOL
  • 20 Feb, 2023

DOL’s Fiduciary Status For Rollovers Struck Down in District Court

On February 13, 2023, the United States District Court’s Middle District of Florida (“the court”) struck down the expanded definition of investment-advice fiduciary put forward by the Department of Labor (DOL) in its Frequently Asked Questions (FAQ) publication from April 2021.

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