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Securities and governance litigation insights

In the dynamic environment of employee benefits, organizations often face challenges involving litigation, risk management, enforcement issues and compliance matters. Controversies can begin with any of the numerous stakeholders, in a variety of circumstances, and often can escalate quickly.

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In the dynamic environment of employee benefits, organizations often face challenges involving litigation, risk management, enforcement issues and compliance matters. Controversies can begin with any of the numerous stakeholders, in a variety of circumstances, and often can escalate quickly.

We provide pragmatic counsel that not only addresses immediate concerns but also focuses specifically on the employee benefits landscape to look ahead, anticipate potential outcomes and effectively manage future risk. We help clients develop a meticulous record that can be used to protect and defend their interests.

We provide pragmatic counsel that not only addresses immediate concerns but also focuses specifically on the employee benefits landscape to look ahead, anticipate potential outcomes and effectively manage future risk. We help clients develop a meticulous record that can be used to protect and defend their interests.

Our team handles employee benefit controversies that arise under the Employee Retirement Income Security Act (ERISA); controversies that result from the creation, implementation or termination of Employee Stock Ownership Plans (ESOPs); controversies that involve health and welfare plans, raise fiduciary and plan governance concerns, and involve plan-related tax issues, bankruptcies and receiverships; and more. The BakerHostetler Employee Benefits and Executive Compensation Controversies team manages difficult or adversarial relationships and works collaboratively with regulators to achieve optimal results. Clients trust us to staff matters efficiently, respond swiftly and focus on their best interests.

Start with the basic building block of all narrative.

In a village of La Mancha, the name of which I have no desire to call to mind, there lived not long since one of those gentlemen that keep a lance in the lance-rack, an old buckler, a lean hack, and a greyhound for coursing.

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Our team handles employee benefit controversies that arise under the Employee Retirement Income Security Act (ERISA); controversies that result from the creation, implementation or termination of Employee Stock Ownership Plans (ESOPs); controversies that involve health and welfare plans, raise fiduciary and plan governance concerns, and involve plan-related tax issues, bankruptcies and receiverships; and more. The BakerHostetler Employee Benefits and Executive Compensation Controversies team manages difficult or adversarial relationships and works collaboratively with regulators to achieve optimal results. Clients trust us to staff matters efficiently, respond swiftly and focus on their best interests.

We represent clients in many industries and have significant experience in the hospitality, print media, healthcare and manufacturing sectors. Our Employee Benefits and Executive Compensation Controversies team also represents tax-exempt employers, organizations with unionized workforces, trustees, third-party administrators, insurers and other parties that get caught up in employee benefit plan and plan-related controversies.

We represent clients in many industries and have significant experience in the hospitality, print media, healthcare and manufacturing sectors. Our Employee Benefits and Executive Compensation Controversies team also represents tax-exempt employers, organizations with unionized workforces, trustees, third-party administrators, insurers and other parties that get caught up in employee benefit plan and plan-related controversies.

If a matter reaches arbitration or litigation, we collaborate with BakerHostetler’s <a href="https://bakerlawstaging.contentpilot.net/ERISA-Litigation">ERISA Litigation</a> team to develop strategies that minimize cost and exposure, such as by leveraging pretrial motions to avoid trial.

If a matter reaches arbitration or litigation, we collaborate with BakerHostetler’s <a href="https://bakerlawstaging.contentpilot.net/ERISA-Litigation">ERISA Litigation</a> team to develop strategies that minimize cost and exposure, such as by leveraging pretrial motions to avoid trial.

Services

Services

Our services encompass both ERISA-related private litigation and adversarial administration and agency proceedings; we provide comprehensive counsel and representation regarding these key challenges.

Our services encompass both ERISA-related private litigation and adversarial administration and agency proceedings; we provide comprehensive counsel and representation regarding these key challenges.

ERISA Controversies:

An organized collection of items displayed in a specific order.

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List

<ul class="wp-block-list">
<li>Fiduciary-oriented litigation (claims against fiduciaries, preemptive claims brought by fiduciaries, regulatory actions prompted by or spawning fiduciary conduct, etc.).</li>



<li>Arbitrations and related proceedings (including withdrawal liability and contributions-related disputes in collectively bargained settings).</li>



<li>Large-stakes claims disputes.</li>



<li>Worker misclassification controversies posing an existential threat to a benefit plan’s financial condition or regulatory posture.</li>



<li>Planwide or other systemic disputes (including class actions and settlements involving certification of classes).</li>



<li>Insurance disputes involving ERISA-regulated plans.</li>



<li>Settlement administration (consent judgments, etc.).</li>
</ul>

Fiduciary-oriented litigation (claims against fiduciaries, preemptive claims brought by fiduciaries, regulatory actions prompted by or spawning fiduciary conduct, etc.).

core/list-item

List Item

<li>Fiduciary-oriented litigation (claims against fiduciaries, preemptive claims brought by fiduciaries, regulatory actions prompted by or spawning fiduciary conduct, etc.).</li>

Arbitrations and related proceedings (including withdrawal liability and contributions-related disputes in collectively bargained settings).

<li>Arbitrations and related proceedings (including withdrawal liability and contributions-related disputes in collectively bargained settings).</li>

Worker misclassification controversies posing an existential threat to a benefit plan’s financial condition or regulatory posture.

<li>Worker misclassification controversies posing an existential threat to a benefit plan’s financial condition or regulatory posture.</li>

Planwide or other systemic disputes (including class actions and settlements involving certification of classes).

<li>Planwide or other systemic disputes (including class actions and settlements involving certification of classes).</li>

Insurance disputes involving ERISA-regulated plans.

<li>Insurance disputes involving ERISA-regulated plans.</li>

Settlement administration (consent judgments, etc.).

<li>Settlement administration (consent judgments, etc.).</li>

<ul><li>Fiduciary-oriented litigation (claims against fiduciaries, preemptive claims brought by fiduciaries, regulatory actions prompted by or spawning fiduciary conduct, etc.).</li><li>Arbitrations and related proceedings (including withdrawal liability and contributions-related disputes in collectively bargained settings).</li><li>Large-stakes claims disputes.</li><li>Worker misclassification controversies posing an existential threat to a benefit plan’s financial condition or regulatory posture.</li><li>Planwide or other systemic disputes (including class actions and settlements involving certification of classes).</li><li>Insurance disputes involving ERISA-regulated plans.</li><li>Settlement administration (consent judgments, etc.).</li></ul>

Administrative/Agency Issues:

Administrative/Agency Issues:

<ul class="wp-block-list">
<li>Pension Benefit Guaranty Corp. (PBGC) audits; other PBGC-initiated Title IV proceedings.</li>



<li>IRS audits, inquiries and enforcement matters; Employee Plans Compliance Resolution System (EPCRS) matters; excise and penalty tax assessments; closing agreements.</li>



<li>Department of Labor (DOL) investigations and inquiries, Voluntary Fiduciary Correction Program (VFCP), Delinquent Filer Voluntary Compliance Program (DFVC), and other matters with significant litigation risk.</li>



<li>Prohibited transactions.</li>



<li>State insurance agency inquiries and enforcement proceedings involving putative benefit plans.</li>
</ul>

Pension Benefit Guaranty Corp. (PBGC) audits; other PBGC-initiated Title IV proceedings.

<li>Pension Benefit Guaranty Corp. (PBGC) audits; other PBGC-initiated Title IV proceedings.</li>

IRS audits, inquiries and enforcement matters; Employee Plans Compliance Resolution System (EPCRS) matters; excise and penalty tax assessments; closing agreements.

<li>IRS audits, inquiries and enforcement matters; Employee Plans Compliance Resolution System (EPCRS) matters; excise and penalty tax assessments; closing agreements.</li>

Department of Labor (DOL) investigations and inquiries, Voluntary Fiduciary Correction Program (VFCP), Delinquent Filer Voluntary Compliance Program (DFVC), and other matters with significant litigation risk.

<li>Department of Labor (DOL) investigations and inquiries, Voluntary Fiduciary Correction Program (VFCP), Delinquent Filer Voluntary Compliance Program (DFVC), and other matters with significant litigation risk.</li>

State insurance agency inquiries and enforcement proceedings involving putative benefit plans.

<li>State insurance agency inquiries and enforcement proceedings involving putative benefit plans.</li>

<ul><li>Pension Benefit Guaranty Corp. (PBGC) audits; other PBGC-initiated Title IV proceedings.</li><li>IRS audits, inquiries and enforcement matters; Employee Plans Compliance Resolution System (EPCRS) matters; excise and penalty tax assessments; closing agreements.</li><li>Department of Labor (DOL) investigations and inquiries, Voluntary Fiduciary Correction Program (VFCP), Delinquent Filer Voluntary Compliance Program (DFVC), and other matters with significant litigation risk.</li><li>Prohibited transactions.</li><li>State insurance agency inquiries and enforcement proceedings involving putative benefit plans.</li></ul>

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<section class="wp-block-contentpilot-expand-more"><div class="wp-block-contentpilot-expand-more__excerpt is-visible" data-selector="expand-more"></div><div class="wp-block-contentpilot-expand-more__full-content" data-selector="expand-more">Our team handles employee benefit controversies that arise under the Employee Retirement Income Security Act (ERISA); controversies that result from the creation, implementation or termination of Employee Stock Ownership Plans (ESOPs); controversies that involve health and welfare plans, raise fiduciary and plan governance concerns, and involve plan-related tax issues, bankruptcies and receiverships; and more. The BakerHostetler Employee Benefits and Executive Compensation Controversies team manages difficult or adversarial relationships and works collaboratively with regulators to achieve optimal results. Clients trust us to staff matters efficiently, respond swiftly and focus on their best interests.We represent clients in many industries and have significant experience in the hospitality, print media, healthcare and manufacturing sectors. Our Employee Benefits and Executive Compensation Controversies team also represents tax-exempt employers, organizations with unionized workforces, trustees, third-party administrators, insurers and other parties that get caught up in employee benefit plan and plan-related controversies.If a matter reaches arbitration or litigation, we collaborate with BakerHostetler’s <a href="https://bakerlawstaging.contentpilot.net/ERISA-Litigation">ERISA Litigation</a> team to develop strategies that minimize cost and exposure, such as by leveraging pretrial motions to avoid trial.ServicesOur services encompass both ERISA-related private litigation and adversarial administration and agency proceedings; we provide comprehensive counsel and representation regarding these key challenges.ERISA Controversies:<ul><li>Fiduciary-oriented litigation (claims against fiduciaries, preemptive claims brought by fiduciaries, regulatory actions prompted by or spawning fiduciary conduct, etc.).</li><li>Arbitrations and related proceedings (including withdrawal liability and contributions-related disputes in collectively bargained settings).</li><li>Large-stakes claims disputes.</li><li>Worker misclassification controversies posing an existential threat to a benefit plan’s financial condition or regulatory posture.</li><li>Planwide or other systemic disputes (including class actions and settlements involving certification of classes).</li><li>Insurance disputes involving ERISA-regulated plans.</li><li>Settlement administration (consent judgments, etc.).</li></ul>Administrative/Agency Issues:<ul><li>Pension Benefit Guaranty Corp. (PBGC) audits; other PBGC-initiated Title IV proceedings.</li><li>IRS audits, inquiries and enforcement matters; Employee Plans Compliance Resolution System (EPCRS) matters; excise and penalty tax assessments; closing agreements.</li><li>Department of Labor (DOL) investigations and inquiries, Voluntary Fiduciary Correction Program (VFCP), Delinquent Filer Voluntary Compliance Program (DFVC), and other matters with significant litigation risk.</li><li>Prohibited transactions.</li><li>State insurance agency inquiries and enforcement proceedings involving putative benefit plans.</li></ul></div><button class="wp-block-contentpilot-expand-more__more-button is-visible" data-selector="expand-more">View More</button><button class="wp-block-contentpilot-expand-more__less-button" data-selector="expand-more">View Less</button></section>

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<ul>
<li>Chambers HNW
<ul>
<li>Private Wealth Law – Colorado (2016 to 2024)</li>
<li>Family/Matrimonial: High Net Worth – Ohio (2021 to 2024)</li>
<li>Private Wealth Law – Ohio (2016 to 2024)</li>
<li>Private Wealth Law – Washington, D.C. (2019 to 2024)</li>
</ul>
</li>
<li>Chambers USA
<ul>
<li>Employee Benefits & Exec. Comp. ‒ Ohio (2007 to 2024)</li>
<li>Political Law ‒ Nationwide (2023, 2024)</li>
<li>Tax Controversy ‒ Nationwide (2014 to 2024)</li>
<li>Tax ‒ District of Columbia (2010 to 2024)</li>
<li>Tax ‒ Ohio (2021 to 2024)</li>
</ul>
</li>
<li>The Legal 500 United States
<ul>
<li>Labor and Employment – Employee Benefits and Executive Compensation & Retirement Plans: Design (2015 to 2024)</li>
<li>Tax ‒ International Tax (2014 to 2023)</li>
<li>Tax ‒ Not-for-profit (Nonprofit and tax exempt organizations (2022 to 2024)</li>
<li>Tax ‒ US Taxes: Contentious (2019 to 2024)</li>
<li>Tax ‒ US Taxes: Non-Contentious (2015 to 2024)</li>
</ul>
</li>
<li>U.S. News – Best Lawyers “Best Law Firms” – National Rankings
<ul>
<li>Employee Benefits (ERISA) Law (2012 to 2025)</li>
<li>Litigation – ERISA (2012 to 2025)</li>
<li>Litigation and Controversy – Tax (2023, 2025)</li>
<li>Tax Law: National (20121 to 2025)</li>
<li>Trusts & Estates Law (2012 to 2025)</li>
</ul>
</li>
</ul>

Raymond M. Malone

Diane D. Wilcox

Jennifer A. Mills

Stacy E. Wilhite

Brian M. Murray

Ann M. Caresani

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Christopher R. Switzer

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Employee Stock Ownership Plans

<ul>
<li>Represented a Fortune 500 company in a suit against the pension plan third-party administrator that allowed embezzlement and overpayments to drain trust assets.</li>
<li>Represented a 401(k) plan sponsor in a protracted, contentious DOL Employee Benefits Security Administration investigation and IRS audit alleging various fiduciary breaches and prohibited transactions, including working with the IRS Independent Office of Appeals and the DOL Office of Administrative Law Judges.</li>
<li>Represented a board member and former 100 percent shareholder in resolving a corporate governance and ERISA fiduciary liability dispute with an ESOP company.</li>
<li>Represented a major nonprofit healthcare system in ERISA top-hat plan litigation regarding Code Section 457(f) deferred compensation.</li>
<li>Represented a former union president in ERISA litigation, brought by the DOL Office of the Solicitor on behalf of the Employee Benefits Security Administration, regarding a union welfare benefit plan.</li>
<li>In litigation spanning eight years, represented a business owner who sold his family’s business to the business’ employees by setting up an ESOP. The owner was then sued by a class consisting of current and former employees claiming the terms of the sale were unfair. Contentious litigation ensued, with three separate employee groups taking extreme positions. Following a series of strategic victories on key motions, including one forcing a division of the class into separate classes and the appointment of separate counsel and one involving the realignment of fiduciaries, the case was settled on terms economically favorable to the client.</li>
<li>Successfully represented a major bank in a case involving “stock drop” litigation.</li>
</ul>

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