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Recent Surge in 401(k) ERISA Class Actions: What's at Issue and How Is It Potentially Impacted by Recent Supreme Court Decision in Intel v. Sulyma and Thole v. U.S. Bank N.A.
Key Issues and Next Steps for ERISA Fiduciaries and Plan Service Providers
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Description
Lawsuits against 401(k) plans and service providers are being filed on a near daily basis, and many of them share the same key allegations and claims. This discussion will explain those allegations, and the anticipated key defenses to such claims, as well as provide an overview of how those lawsuits are unfolding procedurally. Moreover, the U.S. Supreme Court has issued rulings in ERISA cases that may impact that strategy for how these cases are litigated.
Specifically, in Intel Corp. v. Sulyma the Supreme Court ruled that merely disclosing 401(k) plan information online or in disclosures is not sufficient to shorten the time that participants have to sue for a breach of fiduciary duty and that "actual knowledge" determines the timeframe for litigation. The Court examined the use of technology as an evidentiary tool, and the relevance of circumstantial evidence--all of which are critical to fiduciary responsibility and the outcome of litigation
In Thole v. U.S. Bank, the Court ruled that plaintiffs lacked standing to sue the plan fiduciaries for mismanagement of funds and self-dealing since the participants continued to receive their fixed pension payments. This substantially limits the circumstances under which pension plan participants can sue when their plan payments are not impacted by the outcome. This decision has potential implications for lawsuits filed against 401(k) plan fiduciaries.
Listen as our panel discusses the impact of the Court's decisions on fiduciaries and plan service providers and offers next steps and best practices for employers, as well as best practices in preventing and litigating claims.
Presented By

Mr. Delany focuses his practice on defending clients against Employee Retirement Income Security Act of 1974 (“ERISA”) class actions and complex employment discrimination lawsuits. He represents clients against class action claims challenging 401(k) savings plan administration, stock drop litigation and fiduciary duty issues that arise from retiree medical and other employee benefit plan modification and/or termination. Mr. Delany counsels employee benefit plan administrators and trustees on ERISA and breach of fiduciary claims.

Mr. Wozniak is a trial attorney and the leader of Holland & Knight's ERISA Litigation Team and Atlanta Litigation Practice Group. He defends companies, fiduciaries and public institutions throughout the United States in Employee Retirement Income Security Act of 1974 (ERISA), employee stock ownership plan (ESOP), labor and employment, and business disputes. Mr. Wozniak is also experienced in wage-and-hour litigation, state and federal whistleblower statutes, non-discrimination laws, plant closing and mass layoff laws, collective bargaining and traditional labor relations, executive contracts and compensation, non-compete and trade secrets litigation, and partnership/business disputes. During his career, he has defended dozens of class or collective actions and tried more than 40 cases or arbitrations to verdict. In addition, Mr. Wozniak is a frequent lecturer and writer on a wide range of ESOP, employee benefits, employment and business-related issues, including ERISA compliance and preemption, U.S. Department of Labor (DOL) audits and investigations, protecting trade secrets, implementing reductions-in-force, pre-dispute arbitration agreements and programs, class action defense, eDiscovery, and wage-and-hour compliance.
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This 90-minute webinar is eligible in most states for 1.5 CLE credits.
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Live Online
On Demand
Date + Time
- event
Wednesday, August 19, 2020
- schedule
1:00 p.m. ET./10:00 a.m. PT
Outline
- Recent wave of 401(k) litigation
- Common themes and claims asserted in these lawsuits
- Defenses
- Procedural posture of litigation
- Strategies for avoidance
- Critical ERISA rules impacting class actions
- Intel Corp. v. Sulyma
- Statute of limitations
- Determining "actual knowledge"
- Evidence
- Potential impact on discovery and class certification in 401(k) lawsuits
- Thole v. U.S. Bank
- Fiduciary mismanagement and self-dealing
- Standing
- Potential impact on 401(k) claims
- Intel Corp. v. Sulyma
Benefits
The panel will review these and other key issues:
- What are the key allegations raised in 401(k) lawsuits, and what are the key defenses and avoidance strategies?
- How does the U.S. Supreme Court ruling in Intel Corp v. Sulyma impact claims and litigation tactics?
- What are the key takeaways of the Court's ruling in Thole v. U.S. Bank and what impact may this decision have on 401(k) litigation?
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