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US Supreme Court’s impending decision on DOMA may impact most employee benefit plans

Katten Muchin Rosenman LLP
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USA
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April 5 2013

Late last month the US Supreme Court heard oral arguments in two cases concerning same-sex marriage. The Court's decisions are expected by the end of

Investment adviser convicted of defrauding employee benefit plan

Katten Muchin Rosenman LLP
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USA
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April 30 2010

On April 16, the U.S. Attorney for the Eastern District of Michigan, together with the Regional Director for the Employee Benefits Security Administration (EBSA) and the Federal Bureau of Investigation’s Special Agent in Charge, announced the conviction of Anthony James for 14 criminal counts relating to his operation of a Ponzi scheme

Court refuses to lift PSLRA discovery stay

Katten Muchin Rosenman LLP
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USA
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April 18 2008

Plaintiffs brought a shareholder derivative action, claiming the officers and directors of Asyst Technologies, Inc. (Asyst) violated federal and state securities law by backdating stock options and making false filings with the Securities and Exchange Commission

Executive’s responsibility for SEC filings may be grounds for rule 10b-5 liability

Katten Muchin Rosenman LLP
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USA
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February 22 2008

A federal district court denied defendant’s motion for summary judgment in a Securities and Exchange Commission enforcement action seeking civil penalties for claims that the defendant, the former President and COO of a public company, violated Section 10(b) of the Securities Exchange Act of 1934 in connection with the Company’s failure to disclose, among other things, the company’s practice of backdating stock options in its 2002 Form 10-K

Liability for late transfer of 401(k) contributions not a “unique” situation

Katten Muchin Rosenman LLP
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USA
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January 23 2009

In Chao v. Unique Manufacturing Co., a federal district court determined that a business consultant brought in to run a distressed company was a fiduciary to the company’s 401(k) plan and liable for the failure to transfer employee 401(k) contributions to the plan

Parent corporate defendants exposed to liability in ERISA suit under veil-piercing theory

Katten Muchin Rosenman LLP
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USA
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July 9 2010

The U.S. District Court for the District of Delaware denied defendants’ motion to dismiss an Employee Retirement Income Security Act (ERISA) complaint, ruling among other things that plaintiffs properly alleged facts to reach the corporate parent defendants on a theory of piercing the corporate veil

Last-misrepresentation theory did not render claims against all defendants timely

Katten Muchin Rosenman LLP
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USA
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April 9 2010

In Take-Two Interactive Software, Inc. v. Brant, Take-Two Interactive Software, Inc. asserted claims for violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder against four of its former executives who received backdated stock options

Ninth Circuit affirms conviction for participation in backdating scheme

Katten Muchin Rosenman LLP
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USA
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August 28 2009

The defendant Vice President of Human Resources (Jensen) appealed her conviction for falsifying corporate books and records in willful violation of the federal securities laws based upon her participation in a stock option backdating scheme used to compensate employees

Seventh Circuit rules decisively for defendants in a “401(k) fee” case

Katten Muchin Rosenman LLP
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USA
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February 18 2009

On February 12, 2009, the U.S. Court of Appeals for the Seventh Circuit issued its opinion in Hecker v. Deere & Co

Fiduciary insurance does not cover alleged COBRA violation

Katten Muchin Rosenman LLP
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USA
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September 11 2009

An employer sponsor and administrator of a group health benefits plan was sued for alleged violations of its fiduciary duties under the Employee Retirement Income Security Act of 1974 (ERISA) and the Consolidated Omnibus Budget Reconciliation Act of 1985 (COBRA

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