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District Court Dismisses 403(b) ERISA Claim Against Employer, But Not Plan’s Adviser
planadviser Link to more items from this source
Jan. 6, 2023

"The [plan] sponsor, a Texas counseling service, was protected by a safe harbor provision ... Peveto [the plan's manager] asserted it was not a plan fiduciary and merely provided investment advice, and was therefore also not liable under ERISA.... [The judge] found that there was a factual dispute ... [therefore] the case must continue for Peveto." [Roton v. Peveto Financial Group, LLC and Legacy Counseling Center, Inc., No. 20-3569 (N.D. Tex. Dec. 29, 2022)]

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