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Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

  • Advised on-line staffing company on how to structure its client and worker relationships to minimize exposure to liability and ensure legal compliance.
  • Successfully represented non-profit hospital in the internal audit and large-scale correction of its 403(b) plan, including working with vendors and negotiating with IRS regarding correction methods.
  • Restructured executive compensation packages and equity incentives in preparation for banking holding company IPO, including analysis of complex Code Section 409A issues.
  • Established association health plan and drafted the necessary bylaws amendments and other documents to enable the sponsoring association to qualify under ERISA, establish affiliate to perform services, and respond to insurer requirements.

To help clients design, implement, and maintain administratively manageable programs

We advise on   

  • Mandatory benefits programs, including social security taxes, unemployment or state disability insurance, and workers’ compensation
  • Health and welfare policies and programs, including HRAs, HSAs, FSAs, cafeteria plans, medical, dental, life and disability insurance, and paid time-off
  • Qualified retirement plans, including pension, cash balance, 401(k) and 403(b) plans 
  • Non-qualified deferred compensation arrangements subject to Code Section 409A
  • Employee stock ownership (ESOP) and stock purchase (ESPP) plans
  • Executive compensation, bonus, and long-term and equity incentive programs
  • ERISA fiduciary and plan investment matters
  • Multiemployer (union) plans, association health plans, MEWAs and VEBAs
  • Worker classification concerns

Our team works with you to navigate and stay compliant with federal and state laws and agencies

  • Employment Retirement Income Security Act (ERISA) 
  • Pension Benefit Guaranty Corporation (PBGC)
  • Department of Labor (DOL) 
  • Internal Revenue Code (IRC)
  • Affordable Care Act (ACA)
  • Health Insurance Portability and Accountability Act (HIPAA)
  • Consolidated Omnibus Budget Reconciliation Act (COBRA)

Clients span a broad range of employers and the businesses that work with them

  • Fortune 500 companies
  • Mid-size and small employers
  • Multi-state and global employers
  • Charitable and not-for-profit entities
  • Governmental entities
  • Associations, MEWAs, and VEBAs
  • PEOs and staffing companies
  • Insurance and benefits brokers and third-party administrators (TPAs)
  • Hedge funds, private equity funds, and REITs
  • Investment advisers, managers, and other professionals
  • Higher education and public school districts

Our services are comprehensive

The firm’s lawyers

  • Design and implement retirement and group health and welfare plans 
  • Structure and manage executive compensation programs and matters – including employment and separation agreements, equity and phantom equity incentives, annual and long-term incentives, change in control payments, 280G golden parachute issues, and more
  • Negotiate executive compensation packages and incentive pay – drawing upon experience advising both sides of the transaction, which provides beneficial insight 
  • Solve day-to-day plan administration issues, including for defined benefit and 401(k) plans – as they arise, including QDROs, coverage and non-discrimination testing, self-correction, and more
  • Interact with regulators – respond to IRS, DOL, and PBGC audits and assessments; assist with corrections under governmental programs; and prepare Form 5500 and other returns
  • Manage multiple employer, multiemployer and collectively-bargained retirement and health and welfare plan issues – including withdrawal liability, retiree health benefits, association health plans, VEBAs, and MEWAs
  • Navigate ACA employer mandate requirements – from determining if you are covered, to what coverage you must provide, to reporting obligations  
  • Provide support for TPA staffing company, and benefits consultant or broker issues – relating to duties and disclosures imposed by law, client agreements, or benefits structuring
  • Conduct due diligence – in mergers, acquisitions, sales, joint ventures, private offerings and financings, and address pre- and post-acquisition plan mergers and terminations
  • Solve design and testing issues – whether proactively or in response to a problem
  • Address HIPAA and cybersecurity breaches – with the firm’s cybersecurity practice to provide critical assistance with mitigation, filing, and notice requirements 
  • Ensure ERISA and other fiduciary obligations are satisfied – whether from an employer, plan committee or service provider perspective, including fee disclosures stat, prohibited transactions, and plan expenses
  • Negotiate agreements with key service providers – including third-party administrators, trustees, record keepers, insurers, 3(21) or 3 (38) investment advisors, staffing companies, and other vendors
  • Train your staff – with periodic client alerts, webinars, and in-person training sessions to ensure that everyone understands their duties and obligations   
  • Defend your plan – in class actions, multiple plaintiff actions or individual actions, including ERISA litigation, COBRA compliance, fiduciary breach, and disability, retirement benefit, and plan fee claims

Interdisciplinary team and collaborative approach

  • Former in-house counsel with an understanding of business practicalities
  • Seasoned ERISA and state and federal tax and employment practitioners
  • Team-oriented approach, working with plan administrators, HR professionals, brokers, and actuaries
  • Collaboration with other Nelson Mullins practices to provide coordinated, efficient services

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

  • Advised on-line staffing company on how to structure its client and worker relationships to minimize exposure to liability and ensure legal compliance.
  • Successfully represented non-profit hospital in the internal audit and large-scale correction of its 403(b) plan, including working with vendors and negotiating with IRS regarding correction methods.
  • Restructured executive compensation packages and equity incentives in preparation for banking holding company IPO, including analysis of complex Code Section 409A issues.
  • Established association health plan and drafted the necessary bylaws amendments and other documents to enable the sponsoring association to qualify under ERISA, establish affiliate to perform services, and respond to insurer requirements.
  • Practical business mindset 
  • Proactive approach to compliance
  • Deep experience with both federal and state requirements
  • Full-cycle experience: design, implementation, management, and termination
  • Accessibility and responsiveness

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