EBIA Weekly Archives - 401(k) - Court Cases
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Results (333 articles found)
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- Employer Required to Produce Electronic Pension Records and Systems Documentation Held by Third-Party Service Provider
- From the September 20, 2007 EBIA Weekly
- The plan participants in this lawsuit sued their employer for alleged violations in connection with the employer’s pension plan. In the course of the lawsuit, the participants sought discovery from the employer of electronically maintained pension records, including ...
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- PowerPoint Presentation Is Not SPD; Plan Language Controls
- From the August 30, 2007 EBIA Weekly
- An employee participating in her employer’s group accidental death and dismemberment (AD&D) plan died from an infection following surgery. Her mother, the named beneficiary under the plan, filed a claim for death benefits, which the plan ...
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- Misrepresentations in Company's Prospectus and SEC Form S-8 Filing Possible Breach of ERISA Fiduciary Duty
- From the August 23, 2007 EBIA Weekly
- The 401(k) plan participants in this case sued the plan sponsor and various members of the board of directors (among others) when the company’s stock price fell from over $60 to below $20 per share. Among the ...
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- Where SPD and Plan Document Conflict, Participant Need Not Show Reliance on SPD in Order to Enforce Its Terms
- From the August 23, 2007 EBIA Weekly
- The participant in this case sued his employer after he was told he didn’t qualify for benefits under his employer’s disability retirement plan because he didn’t have enough years of service to satisfy the ...
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- Federal Government Ordered to Provide Notice of Criminal Court Proceedings to Victims of TPA Charged With Embezzlement
- From the July 26, 2007 EBIA Weekly
- The defendant in this case acted as the third-party administrator of HSA, FSA, and 401(k) accounts for an estimated 35,000 individuals employed by approximately 1,000 employers. He is now awaiting trial on federal criminal charges, including ...
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- Plan Is Not an ERISA Plan Unless It Covers at Least One Employee Other Than the Employee-Owner
- From the July 17, 2007 EBIA Weekly
- After their health plan failed to timely pay for treatment, two employee-owners (the only individuals covered under the employer’s plan) sued the insurer for breach of contract and bad faith. The insurer argued that the plan was ...
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- Disability Exception to 10% Early Distribution Penalty Does Not Apply to Participant With Hepatitis C
- From the July 12, 2007 EBIA Weekly
- This tax court decision interprets the disability exception to the 10% penalty on early distributions from a qualified retirement plan under Code Section 72(t). By way of background, a distribution generally is considered “early” unless it is ...
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- No Existing Requirement to Disclose Revenue Sharing Information to Participants
- From the June 28, 2007 EBIA Weekly
- A group of participants sued their 401(k) plan sponsor, trustee, and investment advisor, claiming that all three had violated ERISA’s fiduciary duties by failing to adequately disclose to the participants the plan’s investment fund fees ...
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- Eligibility Exclusion Based on Plan Sponsor's Classification of Workers Upheld
- From the June 14, 2007 EBIA Weekly
- We are again reminded of the importance of carefully drafted eligibility provisions. In this case, a group of workers claimed that they were common-law employees eligible for benefits under the company’s qualified retirement plans and that the ...
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- Plan Forfeitures Cannot Be Used to Offset Personal Liability for Fiduciary Breach
- From the May 24, 2007 EBIA Weekly
- This opinion offers the simple lesson that a fiduciary cannot use existing funds in a 401(k) plan’s forfeiture account to offset his or her personal liability for breach of fiduciary duty to the plan. Two company officials ...
