Focus Areas
Career highlights include the following:
- Participated on team that obtained Citibank’s diverse asset manager Department of Labor opinion letter
- Provided ERISA support on update of a national bank’s collective investment trust
- Negotiated with IRS National Office to obtain favorable IRS determination letter for cash balance plan without conceding on $60 million issue
- Provided litigation support and analysis for lump sum defined benefit plan litigation, which litigator valued at $10 million
- Reviewed and negotiated side letters for $100s of millions of private equity fund investments by ERISA pension plans, including comments that led to restructuring of funds to address ERISA concerns
- Advised large financial institution on ERISA provisions of ISDA, foreign exchange, and forward transaction agreements
- Assisted freight service company in “bet-the-company” representation of multiemployer withdrawal liability assessment, including filing appeal and arbitration and obtaining settlement that kept company in business
- Extraordinary service and judgment for every day matters, including: (i) drafting pension and 401(k) plan documents, summary plan descriptions, participant communications and claim denials, (ii) preparing regulatory submissions including IRS determination letter filings, private letter ruling requests, and EPCRS submissions, (iii) counseling on pension and 401(k) plan corrections, (v) advising on fiduciary and prohibited transaction matters, and (iv) counseling clients on Internal Revenue Code and ERISA aspects of employer stock contributions to defined benefit plans, lump sum windows and de-risking pension investments.
- Co-author, “Professional Perspective: The Updated QPAM Exemption in Practice,” Bloomberg Law, September 2024
- Co-author, “U.S. Department of Labor Finalizes Major Changes to Its Fiduciary Investment Advice Rule,” Benefits Law Journal, June 2024
- “AT&T and Lockheed Martin Face Class Actions Over Pension Risk Transfers to Athene,” Thompson Hine Employee Benefits Update, March 2024
- Co-author, “U.S. Department of Labor Greenlights Citibank’s Diverse Asset Manager Program,” The Banking Law Journal, January 2024
- Co-author, “SECURE 2.0 Provisions for Defined Benefit Plans,” Bloomberg Law Practical Guidance, December 2023
- “DOL Greenlights Citibank’s Diverse Asset Manager Program,” Thompson Hine Employee Benefits Update, October 2023
- “DOL Issues Much-Anticipated Retirement Plan Cybersecurity Guidance,” Thompson Hine Employee Benefits & Executive Compensation Update, April 2021
- “American Rescue Plan Act: Impact on Employers and Employees,” Thompson Hine COVID-19 Update, March 10, 2021
- “DOL Prohibited Transaction Exemption for Participant Investment Advice Passes Review,” Thompson Hine Employee Benefits Update, February 2021
- “What’s Old Is New Again: DOL Reinterprets Five-Part Investment Advice Test,” Thompson Hine Employee Benefits Update, February 2021
- Co-presenter, “Mastering QPAM Exemption Changes: Essential Insights for Investment Managers,” Thompson Hine Investment Management Coffee Chat Webinar Series, June 2024
- Co-presenter, “DOL Greenlights Diverse Asset Manager Program for ERISA Plans,” Thompson Hine Webinar, October 2023
- Presenter, “Pension Plans Need Love, Too!” Thompson Hine SECURE 2.0 Deep Dive Webinar, September 2023
- Presenter, “ERISA Update for Investment Advisers and Fund Managers,” Thompson Hine Investment Management Coffee Chat Webinar Series, January 19, 2022
Professional Associations
- American Bar Association
Education
- Cornell University Law School, J.D., 1984, magna cum laude,
Order of the Coif
- Case Western Reserve University, B.A., 1981, magna cum laude,
Phi Beta Kappa
Bar Admissions
- Ohio
- Michigan
- The Updated QPAM Exemption in Practice,
Bloomberg Law
, September 11, 2024 - U.S. Department of Labor Finalizes Major Changes to Its Fiduciary Investment Advice Rule,
Benefits Law Journal
, June 21, 2024 - U.S. DOL Finalizes Major Changes to its Fiduciary Investment Advice Rule,
Employee Benefits Update
, May 1, 2024 - AT&T and Lockheed Martin Face Class Actions Over Pension Risk Transfers to Athene,
Employee Benefits Update
, March 15, 2024 - SECURE 2.0 Provisions for Defined Benefit Plans,
Bloomberg Law
, December 6, 2023 - DOL Greenlights Citibank’s Diverse Asset Manager Program,
Employee Benefits Update
, October 5, 2023 - DOL Issues Much-Anticipated Cybersecurity Guidance,
Employee Benefits Update
, April 26, 2021 - American Rescue Plan Act: Impact on Employers and Employees,
COVID-19 Update
, March 10, 2021 - DOL Prohibited Transaction Exemption for Participant Investment Advice Passes Review,
Employee Benefits Update
, February 16, 2021 - What’s Old Is New Again: DOL Reinterprets Five-Part Investment Advice Test,
Employee Benefits Update
, February 2, 2021