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Fiduciary Implications of Stock Drop Lawsuits in 401(k)s and ESOPs

NCEO Webinar replays are the recorded version of our live Webinars, using PowerPoint presentations viewed online. To purchase a twelve-month subscription providing unlimited access to all recorded Webinars, including this one, follow this link. If you have a current subscription to the replays, log in here. (Replays are not available for individual purchase). Please contact Colleen Kearney at 510-208-1311 or for additional information.

This replay was recorded on October 29, 2013.

About This Meeting

Over 75 cases have been decided or are in process concerning employee allegations that fiduciaries acted improperly with respect to employer stock in retirement plans. The cases have provided important insights into how to manage plans to avoid litigation. This webinar will discuss what the courts have said so far about who is a fiduciary, who is eligible to sue, when fiduciaries should sell the company stock or not offer it as an investment choice, what kinds of disclosure should be provided, and other critical matters.

You will learn:


Sarah Ivy

Giannascoli & Kent, P.C.,

Sarah Ivy chairs the employee benefits and executive compensation group at Giannascoli & Kent, P.C. She has 15 years of experience advising employers, human resources professionals, and individuals in all areas of the law related to employee benefits. She focuses on employee benefits, ERISA, employment law, executive compensation, deferred compensation, including 409A planning and compliance, ESOP transactions as a business succession planning tool, and consulting and compliance related to the newly enacted Patient Protection and Affordable Care Act. Her clients include private, tax-exempt, governmental and public companies, and individuals

Margie Wetherald

Keller Rohrback

Margie Wetherald is a partner practicing in the Keller Rohrback's cmplex litigation group. She has more than 25 years of experience in insurance coverage and bad faith analysis and litigation. Her practice includes ERISA class action litigation on behalf of plan participants and she has handled mass tort litigation involving drug, chemical, and disease exposure. She has published numerous articles and speaks at CLE programs. Margie taught for two years at the Columbus School of Law in Washington, D.C. and has practiced in Seattle and Washington, D.C