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David R. Johanson
Senior Partner and Partner-in-Charge, Napa | Hawkins Parnell & Young, LLP
Stephen Wilkes
Partner & Chief Legal Officer | Wagner Law Group

ERISA: Defense Strategies to DOL Litigation and Investigations | On-Demand Webinar

Broadcast Date: Wednesday, October 18, 2023 | 12:00 PM – 01:30 PM ET

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.

Key topics:

  • Recent Updates in DOL’s ERISA Enforcement
  • New Issues and Challenges in ERISA Litigation
  • Relevant Cases and Court Rulings
  • Litigation Strategies
  • Best Compliance Practices
  • What’s Next?

Agenda:

David R. Johanson, PARTNER-IN-CHARGE, NAPA
Hawkins Parnell & Young, LLP
DOL Investigations

  • ERISA vests enforcement authority in the DOL
  • Subject Matter of Investigations
  • ESOPs remain on EBSA’s National Enforcement Projects
  • EBSA Major Case Enforcement Priorities: Fiduciaries managing large amounts of plan assets and protecting employee contributions.
  • Fiduciary Duties, Section 404(a) of ERISA
  • Sources of DOL Investigations
  • Potential Case Development from Form 5500 if any of the following are reported.
  • Investigation Procedures
  • ERISA is a procedural statute.
  • Hot topics
  • DOL “Process Agreements” (through settlements not admitting liability) are a helpful guide.
  • DOL Correction Programs
  • Be Ahead of the Curve
  • Consult Experts
  • Obtain Insurance
  • Manage the Process

Stephen Wilkes, Partner & Chief Legal Officer
Wagner Law Group

  • What is our DOL/EBSA org chart.
  • Some of our DOL enforcement facts on audits, etc.   FY2022 results
  • Where are DOL enforcement priorities these days – Pension world -missing participants, ESOP, investments, life insurance, criminal matters, etc.  Health plan world – initiatives, priorities
  • Other Dol efforts –   abandoned plans, disclosure issues, cyber, bonding,
  • How are investigations or audits resolved?   No violation closing letter, or violation with correction or violation with no correction which is then referred to DOL solicitor.
  • ERISA 504 investigative authority
  • DOL subpoena authority
  • Alight Sols LLC case…..7th circuit……EBSA investigative authority is discussed.

Who Should Attend:

  • Labor & Employment Lawyers
  • Employee Benefits Lawyers
  • Benefits Administrators
  • Chief Human Resource Officers
  • VPs/Directors of HR
  • Chief Executive Officers
  • Chief Compliance Officers
  • Financial Advisors
  • Insurance Lawyers
  • General Counsel

Register for this course by clicking the “Take this Course” at the top of the page.

CLE Credit:

Course Level: Intermediate | Advance Preparation: Print and review course materials

Method of Presentation: On-Demand Webinar | Prerequisite: General knowledge of employee benefits law

Course Code: 1410855 | Total Credits: 1.5 CLE

Instructions for Participating the Live Webinar

    • Please Register for the course by clicking the "take the course: button if you have not already registered.
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    • Download Course Materials – Course materials will be available for download **24-48 hours before** the live webinar. Be sure to review them in advance. The Link to download is available by clicking the lesson tab.
    • Join the Webinar – Follow the instructions in the email to access the live broadcast at the scheduled time.
    • Note the Secret Words – During the webinar, secret words will be announced periodically. Please write them down.
    • Take the Quiz – After the webinar, click on the quiz link below and enter the secret words to complete the quiz.
    • Print Your Certificate – Upon completing the quiz, you will be able to print your Certificate of Attendance, which includes instructions on how to obtain CLE, CPE, or other applicable credits for the course.
    • On-Demand Access – The on-demand version of this course will be available 24-48 hours after the live webinar. If you miss the live presentation or need to review the content, you will have access to the on-demand version as an enrolled student. To access on-demand content, click the lesson and follow the instructions.
    • Support: If you have any questions, please refer to the email instructions or contact support: support@theknowledgegroup.zohodesk.com.