Kathleen Roche

Kathleen Roche was previously vice president, retirement consulting services, at Commonwealth Financial Network®, member FINRA/SIPC, an independent broker/dealer–RIA. She left the firm in 2017.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

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Recent Posts

How to Help Small Business Owners Plan for Retirement

The Big 3: Plan Sponsor Questions for the Retirement Plan Advisor

How to Help Small Business Owners Plan for Retirement

Posted by Kathleen Roche

October 20, 2015 at 10:00 AM

Small business owners often focus exclusively on their businesses, reinvesting profits to support growth. But what effect does this have on their retirement savings?

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Topics: Retirement Consulting

The Big 3: Plan Sponsor Questions for the Retirement Plan Advisor

Posted by Kathleen Roche

April 15, 2015 at 1:30 PM

In 2014, the Employee Benefits Security Administration conducted nearly 4,000 civil investigations, 64.7 percent of them resulting in monetary recovery. While you may hear only about the high-profile class action lawsuits involving Fortune 500 companies, there are risks to plans of any size that don't meet their fiduciary responsibilities. For example, in LaRue v. DeWolff, Boberg & Associates (a firm with about 200 employees), an individual plan participant—not part of a class action—was allowed to sue his employer.

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Topics: Retirement Consulting

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