ERISA Enforcement and Compliance: A 2013 Perspective

MICHELLE CAPEZZA is a Member of the Firm in the Employee Benefits and Health Care and Life Sciences practices, in the firm’s New York office. She practices law in the areas of ERISA, employee benefits, and executive compensation and has more than 16 years of experience representing a range of clients, from Fortune 500 companies and multinational corporations to medium-sized businesses and individual executives, in these matters.

Ms. Capezza was recommended for her work in employee benefits and executive compensation on a national level in the 2013 edition of The Legal 500 United States. Ms. Capezza received the 2012 Excellence in Achievement Award from the Peter W. Rodino, Jr. Society at Seton Hall University School of Law, for her commitment to excellence and compassionate service in the field of law. In 2011, Ms. Capezza was named a “Rising Star” byNew York Super Lawyers – Metro Edition, and in 2009, she was named a “Rising Star” by New Jersey Super Lawyers magazine for her work in Employee Benefits/ERISA. Ms. Capezza has also been recognized in Marquis Who’s Who in America, American Law, and Emerging Leaders.

Curtis is a Member in Bass, Berry & Sims’ Employee Benefits/ERISA Practice. In the course of his practice, Curtis routinely represents and advises both public and private companies on the design, implementation and administration of tax-qualified retirement plans (including 401(k) plans, pension plans, multi-employer plans and other collectively bargained plans), health and welfare plans, cafeteria plans, nonqualified deferred compensation plans and executive compensation arrangements. Curtis also represents clients on employee benefit matters involving the Internal Revenue Service, Department of Labor and the Pension and Benefit Guarantee Corporation, including litigation, plan audits and IRS and DOL correction programs.

Alison Douglass is a litigation partner in Goodwin Procter’s Boston, Massachusetts office. Alison concentrates her practice on complex business litigation with a particular emphasis on ERISA litigation and mutual fund litigation. She has been involved in litigating a broad range of class actions, derivative actions, and multi-proceeding litigations in state and federal courts across the country.

As part of her ERISA litigation practice, Alison has counseled and defended a broad range of clients, including 401(k) plan service providers, directed trustees, investment managers, plan fiduciaries, and insurance companies. Alison has represented clients in all phases of ERISA-related litigation, including pre-litigation counseling and a wide variety of trial and appellate matters in courts across the country, with a particular focus on ERISA fiduciary issues and defense expert witness strategy. She has also represented clients in regulatory investigations and governmental proceedings, including before the U.S. Department of Labor and the Securities and Exchange Commission.

Todd Wozniak is a trial lawyer who focuses his practice on the defense of complex ERISA and employee benefits litigation and enforcement actions. Mr. Wozniak has defended more than a dozen class, collective, or derivative actions and tried more than 40 cases or arbitrations to verdict. Mr. Wozniak counsels and defends a broad range of clients, including plan service providers, directed trustees, investment managers, plan fiduciaries, plan sponsors, and insurance companies with respect to ERISA compliance and fiduciary issues. Mr. Wozniak is currently defending more than a half dozen ERISA class, derivative, and multi-plaintiff cases involving breach of fiduciary duty, employee stock ownership plan, and non-exempt prohibited transaction issues and allegations.

Mr. Wozniak is a frequent lecturer and writer on a wide range of ERISA litigation topics, including pre-dispute arbitration agreements and programs, class action defense, ERISA preemption, ERISA fiduciary duties, and e-discovery.