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


Apr. 8, 2015
Recorded Online

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.

In this session, Dr. Susan Mangiero and attorneys Thomas Clark and Mitchell Shames Attendees will cover relevant cases and regulatory actions that involve third parties such as financial advisors. Discussions about fiduciary risk mitigation will be included, along with a checklist of as to how advisors, consultants, banks and asset managers can work effectively with an independent fiduciary and plan counsel to demonstrate procedural prudence. Panelists will also cover state trust law and what ERISA oversight activity means for advisors and consultants who work with non-ERISA trusts. Attention will be given to Dudenhoeffer and RJR Reynolds cases and the U.S. Department of Labor settlement agreement with GreatBanc that addressed fiduciary breach issues and the role of an independent fiduciary.


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

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