Roy Harmon

ERISA Section 209 Recordkeeping Duties Do Not Give Rise To Fiduciary Claim

. . . our decision does not prevent Henderson from bringing a subsequent action pursuant to ERISA Section 502(a)(1)(B) to recover benefits associated with any unjustly withheld compensation that she receives if she is successful in her state wage lawsuit. Indeed, at oral argument, UPMC agreed that were it to be established in state court …

ERISA Section 209 Recordkeeping Duties Do Not Give Rise To Fiduciary Claim Read More »

Is The DOL Abusing the “FAQ” Format?

Set out below are additional Frequently Asked Questions (FAQs) regarding implementation of the market reform provisions of the Affordable Care Act. These FAQs have been prepared jointly by the Departments of Health and Human Services (HHS), Labor and the Treasury (the Departments). Like previously issued FAQs (available at http://www.dol.gov/ebsa/healthreform/), these FAQs answer questions from stakeholders …

Is The DOL Abusing the “FAQ” Format? Read More »

Organizing The FAQ’s

I replaced the FAQ resource page previously on this site with a new FAQ page that lists the questions with links back to the DOL site where the answers appear.

Claims For Administrative Record And Statutory Penalties Advance Over Challenge

Plaintiffs bring a claim for violation of 29 C.F.R. 2560.503-1(h)(2) on behalf of the individual Plaintiffs against Defendants . . .29 C.F.R. 2560.503-1(h)(2) sets forth the requirements that must be met in order for a plan’s claims procedures to be considered as having provided a claimant with a reasonable opportunity for a full and fair …

Claims For Administrative Record And Statutory Penalties Advance Over Challenge Read More »

Employee Benefit Plans: Reported Criminal Enforcement Actions Year To Date

Lakewood Man Charged with Embezzlement from Employee Benefit Plan [05/06/11] Dublin Businessman Pleads Guilty to Embezzling Money from Company Pension Plan [04/15/11] Colorado Health-Plan Founder Indicted for Mail Fraud, Embezzling Plan Funds and Money Laundering [04/05/11] Founder and Treasurer of Washington D.C. Labor Union Charged with Stealing Pension Funds for Personal Use, Violating a Court Order and Obstructing …

Employee Benefit Plans: Reported Criminal Enforcement Actions Year To Date Read More »

ERISA Section 502(a)(3) Claims Remanded For Reconsideration After Amara Opinion

For the reasons discussed below, we affirm the district court’s decision rejecting Plaintiffs’ claims under ERISA § 502(a)(1)(B), 29 U.S.C. § 1132(a)(1)(B), and the district court’s dismissal of the claims of the Plaintiffs who received their distributions in the 2002-2003 Plan Years. However, we remand in part to the district court for reconsideration of the …

ERISA Section 502(a)(3) Claims Remanded For Reconsideration After Amara Opinion Read More »

Whose Privilege Is It Anyhow?

The fiduciary exception to the attorney-client privilegehas its roots in 19th-century English common-law casesholding that, “when a trustee obtained legal advice relating to his administration of the trust, and not in antici-pation of adversarial legal proceedings against him, thebeneficiaries of the trust had the right to the production of that advice.” Ibid. (collecting cases). The …

Whose Privilege Is It Anyhow? Read More »