ERISA: Defense Strategies to DOL Litigation and Investigations
The recent months have witnessed a flurry of Employee Retirement Income Security Act (ERISA) benefits-related litigation. The Department of Labor (DOL) is getting on the scene with heightened audits and investigations which may breed increased risk of violations for employers, plan sponsors, fiduciaries, and other professionals providing ERISA-governed benefits plans. Likewise, recent court decisions such as the Supreme Court’s ruling on Hughes v. Northwestern University continue to provide guidance to the Court of Appeals in carefully scrutinizing the plaintiff’s allegations.
As the litigation landscape continues to shift, practitioners should keep tabs on DOL’s ERISA enforcement activities and ensure proper administration of their plans to stay out of complex liability and potential litigation.
Join key thought leaders and practitioners, David R. Johanson (Hawkins Parnell & Young, LLP) and Stephen Wilkes (Wagner Law Group), for an in-depth discussion of crucial regulatory developments in ERISA. Speakers will also provide the audience with the best defense strategies in responding to DOL’s regulatory scrutiny.
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Senior Partner and Partner-in-Charge, at NAPA Hawkins Parnell & Young LLP
David assists clients in general corporate matters and in employee ownership, benefit, ERISA, and related business matters, with an emphasis on executive compensation, equity incentive plans, non-qualified deferred compensation, employee stock ownership plans (ESOPs), ESOP transactions, mergers and acquisitions (and related tax planning), and business succession and estate planning. David has served as outside general counsel to numerous corporate clients over the past 38 years. He also frequently appears on behalf of clients in business and employment-oriented defense litigation in state and federal courts throughout the country, and before regulatory agencies (e.g., U.S. Department of Labor, Internal Revenue Service, etc.).
Partner & Chief Legal Officer at Wagner Law Group
Stephen Wilkes, a partner in the firm, heads the firm’s Investment Management Law practice. He also is a Practice Group leader for the firm’s ERISA Fiduciary Compliance and Independent Fiduciary practices. Steve advises a national client base of mutual funds, CIFs, private funds, registered investment advisers, insurance companies, broker dealers, wealth management firms, banks, trust companies, third-party platform providers, Taft Hartley Funds and plan sponsors on ERISA, tax, and related securities law issues. Stephen counsels’ clients regarding ERISA fiduciary and prohibited transaction issues, investment matters, alternative investments, securities law issues, federal tax issues, and the employee benefits aspects of bankruptcy and related financial restructurings, reorganizations and liquidations. He interacts with regulatory agencies and Congressional staff on legislative and regulatory issues involving the DOL, SEC, IRS, PBGC and OCC.
Partner Leading Lawyer in Data Security Faegre Drinker Biddle & Reath LLP
Ken Dort is a preeminent resource on mission-critical data security issues and is consulted often for immediate counsel on high-stakes data breaches, as well as for guidance and strategy on the privacy and other legal implications of new technologies. Ken is a recognized adviser to clients around the world on data security and privacy practices and compliance needs arising under federal, state, provincial and international laws and industry standards. He also is a powerful litigator in the courtroom, a deft negotiator with regulators and a valued counselor on software development and integration.
