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The Department of Labor is investigating broker-dealer and registered investment advisors’ services to ERISA retirement plans.

Fred Reish (left), partner and chair of the Financial Services ERISA Team at Drinker Biddle & Reath in Los Angeles, and two of his colleagues recently wrote an article in the law firm’s Investment Management Insight’s publication titled “DOL Investigations: Broker-Dealers and RIAs as Targets,” which reveals that in recent months the department has investigated eight BDs—three of which Reish’s firm has been involved in—as part of DOL’s Consultant/Adviser Project (CAP).

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