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ERISA Litigation and Enforcement Webinar


ERISA Litigation and Enforcement: The Role of the Independent Fiduciary and Best Practices for Financial Advisors

Date Recorded: April 8, 2015

Susan Mangiero, Managing Director of Fiduciary Leadership, LLC
Mitchell Shames, Partner at Harrison Fiduciary Group
Thomas Clark, Counsel at The Wagner Law Group

ERISA litigation and enforcement increasingly involves allegations of conflicts of interest and imprudent decision-making on the part of advisors, consultants, banks and asset managers. In several recent matters, regulators and judges have made it clear that the use of an independent fiduciary would be interpreted as a reflection of procedural prudence and the absence of an independent fiduciary could hasten a decision of fiduciary breach.

Learning Objectives:

  • Learn about relevant cases and regulatory actions that involve third parties such as financial advisors.
  • Discussion how advisors, consultants, banks and asset managers can work effectively to demonstrate procedural prudence.
  • What state trust law and ERISA oversight activity means for advisors and consultants who work with non-ERISA trusts. 


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