• videocam Live Webinar with Live Q&A
  • calendar_month November 10, 2026 @ 1:00 p.m. ET./10:00 a.m. PT
  • signal_cellular_alt Intermediate
  • card_travel ERISA
  • schedule 90 minutes

DOL Investigations of Employee Benefit Plans: Responding to Enforcement Actions, Audits, and Settlements

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$252.45
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Discount expires 10/27/26

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About the Course

Introduction

This CLE course will prepare employee benefits counsel to represent plan fiduciaries and sponsors facing Department of Labor (DOL) investigations or lawsuits. Our experienced panel will discuss how to navigate the investigation process, offer practice pointers on working with Employee Benefits Security Administration (EBSA) investigators, discuss strategies for determining and implementing corrective action, and offer insights into entering into a settlement agreement with EBSA or with the DOL's Solicitor's Office if referred for litigation.

Description

EBSA is responsible for overseeing ERISA-regulated employee benefit plans and continues to ramp up its investigations and enforcement actions. EBSA conducts civil and criminal investigations and has the authority to refer cases to other government agencies such as the IRS, SEC, PBGC, or U.S. Attorney's Office.

Investigations can drag on for months or years once a plan sponsor or fiduciary is the target of an inquiry. Benefits counsel must carefully examine the agency's claims, identify and collect extensive documentation, and create an investigation strategy to resolve the agency's allegations and foreclose further action.

Counsel must also decide whether to enter into a settlement agreement and understand the costs of remedial measures.

Listen as our expert panel shares their experiences in representing plan fiduciaries and sponsors facing EBSA investigations. The panel will discuss how to navigate the investigation process, offer practice pointers on working with EBSA investigators, discuss strategies for determining and implementing corrective action and deciding whether to enter into a settlement agreement with EBSA, and discuss strategies if a matter is referred for litigation to the DOL's Solicitor's Office.

Presented By

DeMario Carswell
Counsel
Miller & Chevalier

Mr. Carswell's practice focuses on ERISA litigation, government investigations, complex commercial litigation, and dispute resolution. He counsels and represents fiduciaries, plan sponsors, benefit plan service providers, and trustees in all phases of complex ERISA litigation, class action litigation and ERISA compliance. Mr. Carswell's work involves employer-sponsored benefit plans including defined contribution plans, employee stock ownership plans (ESOPs), insurance products, and other benefit plans. He represents clients in regulatory investigations and enforcement proceedings, including those involving the Department of Labor (DOL). Mr. Carswell advises fiduciaries on their fiduciary responsibilities and obligations under ERISA, helping clients proactively develop litigation risk mitigation strategies for benefit plans and their service providers. His practice also includes assisting commercial clients and financial institutions in a variety of complex litigation matters — including employment, breach of contract, breach of fiduciary duty, consumer finance, and other financial services and products — in federal and state courts across the country, as well as pre-litigation counseling, mediation and arbitration, regulatory investigations and proceedings. 

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Michael Schmit
Senior Director
Alavarez & Marsal

Mr. Schmit is a Senior Director with Alvarez & Marsal Tax in Denver. He specializes in compensation and benefits, with a specific focus on qualified retirement plan compliance and administration issues. Mr. Schmit is frequently engaged to represent clients related to Internal Revenue Service (IRS) and Department of Labor (DOL) audits, examinations, and investigations. He also assists clients with qualified plan compliance issues, including correction through IRS and DOL correction programs.  

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Credit Information

  • This 90-minute webinar is eligible in most states for 1.5 CLE credits.


  • Live Online


    On Demand

Date + Time

  • event

    Tuesday, November 10, 2026

  • schedule

    1:00 p.m. ET./10:00 a.m. PT

I. Overview of DOL/EBSA regulatory scheme and enforcement initiatives

II. Best practices for responding to investigations and audits

III. Working with auditors and investigators

IV. Corrective action and settlements

The panel will review these and other relevant issues:

  • What factors should counsel to plan sponsors or plan fiduciaries consider when determining whether to seek settlement of an enforcement action?
  • What are the challenges and pitfalls in negotiating settlements and penalties with EBSA? With the DOL's Solicitor's Office?
  • What are best practices for ensuring compliance and avoiding agency scrutiny?
  • What are the DOL's enforcement initiatives focusing on in 2026 and leading into 2027?