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Publications

BOOKS

Tess J. Ferrera, Fifth, Sixth, and Seventh Edition of Wolters Kluwer ERISA Fiduciary Answer Book and annual supplements; co-author, Third and Fourth Edition.

Robert Rachal, chapter co-author, Bloomberg BNA ERISA LITIGATION (BNA 6th ed. 2017), Chapter 34 “Fee and Investment Prudence Litigation in Defined Contribution Plans.

Al Holifield, Tina Haley, Sarah Johnson, chapter co-author, Chapter 38 “Age Discrimination in Employee Benefits,”  ERISA Litigation (BNA 5th ed. 2014).

Daniel Janich, chapter co-author, Chapter 36 “Contingent Workers & Employee Benefits” in ERISA Litigation (BNA 5th ed. 2014).

Robert Rachal, Bloomberg BNA ERISA Litigation (BNA 5th ed. 2014), Co-Author Chapter 34 “Fees and Expenses Litigation in Defined Contribution Plans,” Chapter 39 “Violation of Fiduciary Duty by Misrepresentation and Nondisclosure,” Chapter 41 “Fiduciary Duties Regarding 401(k) and ESOP Investments in Employer Stock” and Chapter 24 “The Affordable Care Act and ERISA Litigation.”

Robert Rachal, Bloomberg BNA Employee Benefits Law Contributing-Author, (3ed 2012 & 2015 Cumulative Supplement).

Al Holifield, contributing author, Chapter 10, “Fiduciary Responsibility”, Employee Benefit Law (BNA 2007-2013).

Al Holifield, contributing author, Chapter 11 “ERISA Preemption and Effect of Other Laws,” Employee Benefit Law (BNA 2006).

Al Holifield, contributing author, Chapter 6 “Regulation of Specialized Types of Retirement Income Plans,” Employee Benefits Law (BNA 2004-2005).

Al Holifield, contributing author, Chapter 15 “Employment Discrimination and Employee Benefits,” Employee Benefits Law (BNA 2003).

Articles

Rachal, Robert. “Recent Litigation Developments Affecting Delaware Executive Compensation.” Bloomberg BNA Tax Management Compensation Planning Journal, August 2017.

Rachal, Robert, et al. “ERISA Fee Litigation: Recent Developments and Developing Best Practices to Limit Exposure.” Bloomberg BNA, Benefits Practice Resource Center, July 7, 2017.

Rachal, Robert, et al. “Fee Litigation 2016 Round-Up: Mitigating Risk in the Face of Expanding Targets and Theories of Fiduciary Liability,” in 30, No. 1 Benefits Law Journal 21, Spring 2017.

Johnson, Sarah. “What Employers Need to Know About New FLSA Overtime Rules.” Knoxville News Sentinel Business Journal, January 2, 2017.

Rachal, Robert. “Fiduciary Liability, DOL Audit, Fiduciary Insurance and Bonding.”  T. Rowe Price Fiduciary Source Guide, Dec. 2016.

Rachal, Robert. “Disney and Chevron: Court Skepticism Can Provide Some Important Limits to Fee Litigation.” Bloomberg BNA, Pension & Benefits Daily, Nov. 30, 2016.

Rachal, Robert, et al. “Gobeille v. Liberty Mutual – The Supreme Court Construes ERISA Preemption Expansively in the Reporting and Disclosure Context.”  ABA Employee Benefits Committee Newsletter, Spring 2016.

Ferrera, Tess J. “Supreme Court Tells Insurers Not to Twiddle Their Thumbs.” Employee Benefits, February 1, 2016.

Rachal, Robert, et al. “401(k) Fee Litigation: Recent Case Teachings on Exposures and Practices to Mitigate That Risk,” 28 No. 4 Benefits Law Journal 14, Winter 2015.

Ferrera, Tess J. “DOL Proposes Rule Redefining Fiduciary Status in the Investment Advice Context.” Schiff Hardin Newsletter, June 3, 2015.

Rachal, Robert. “Pension Plan Administration and Court Deference to the IRS—The ‘Church Plan’ Cases as a Case Study on the Significance of Agency Deference to Plan Administration.” Bloomberg BNA, Pension & Benefits Daily, April 13, 2015.

Ferrera, Tess J. “DOL Proposed Rule Expands Definition of Fiduciary Investment Advice.” Pension Benefits, April 2015.

Rachal, Robert. “Developing Issues and Litigation Under the Federal Mental Health Parity Act and the Affordable Care Act.” Bloomberg BNA, Pension & Benefits Daily, July 9, 2014.

Rachal, Robert. “Debate Continues Over Fiduciary Status of 401(k) Plan Service Providers.” Thompson, 401(k) Handbook, July 2014.

Rachal, Robert, et al. “Labor & Employment and ERISA Class Actions After Wal-Mart and Comcast – A Defense Perspective.” 29 ABA Journal of Labor & Employment Law 319, Winter 2014.

Rachal, Robert, et al. “Using Experts to Defeat or Limit Class Certification in Employment Law and ERISA Cases After Wal-Mart and Comcast.” Bloomberg BNA, Class Action Litigation Report, February 14, 2014.

Ferrera, Tess J. “A Tale of Two Trials: The Negligible Impact of the Tibble and Tussey Decisions.” ERISA Litigation Update, Journal of Pension Benefits, Winter 2013.

Ferrera, Tess J. “CIGNA Corp v. Amara: In One Fell Swoop, Supreme Court Shakes Two Principles that Were Thought to Be Bedrock.” ERISA Litigation Update, Journal of Pension Benefits, Autumn 2011.

Janich, Daniel. “Without Proper Planning Contingent Workers Pose Serious Risks to Employer Benefit Plans.”  Employee Benefit Plan Review, July 2011.

Janich, Daniel. “Equity Interests in Limited Liability Corporations.” 20 The Journal of Employee Ownership Law and Finance 19, Winter 2008); expanded and reprinted in Equity Compensation for Limited Liability Companies (LLCs), NCEO, 1st ed. 2009.

Ferrera, Tess J., author article, “Investment Advice Prohibited Transaction Exemption:  Something New or Legislative Fluff?” Journal of Pension Benefits (Winter 2008).

Ferrera, Tess J., author article, “New Department of Labor Disclosure Requirements: Part II,” PEO Insider (October 2008).

Ferrera, Tess J., author article, “Same-Sex Marriage, Civil Unions, and Domestic Partners:  What Do They Mean for Welfare Benefit Plans?” Journal of Pension Benefits (Autumn 2008).

Ferrera, Tess J., author article, “Department of Labor:  New Disclosure Requirements,” Journal of Pension Benefits (Autumn 2008).

Ferrera, Tess J., author article, “New Department of Labor Disclosures Requirements – Part I,PEO Insider (September 2008).

Ferrera, Tess J., author articles, “U.S. Supreme Court Finds Conflict of Interest, Adds New Wrinkle to Benefit Claims Review,”Journal of Pension Benefits (Summer 2008).

Ferrera, Tess J., author article, “Health Underwriting: Legal Restrictions,” PEO Insider (December 2007/January 2008).

Janich, Daniel. “Securities Law Considerations in Decision-Maker’s Guide to Equity Compensation.” NCEO, 1st ed. 2007; updated in 2nd ed. 2011.

Ferrera, Tess J., author article, “ERISA’s Definition of Fiduciary Omitting ‘Discretion’ Might Come Back to Bite a Lot of TPA’s” Journal of Pension Benefits (Winter 2007).

Ferrera, Tess J., author article, “PEOs Deemed MEWAs Have State and Federal Regulatory Concerns,” PEO Insider (September 2007).

Ferrera, Tess J., author article, “Welfare Benefits, Insurance Commissions, Fees, and PEOs: Limitations on Permissible Activities and Potential Pitfalls,”  PEO Insider (June/July 2007).

Ferrera, Tess J., author article, “Fiduciary Status of Third-Party Health Claims Administrators,” Journal of Pension Benefits (Winter 2006).

Ferrera, Tess J., author article, “Supreme Court Unanimously Decides Health Plans May Seek Reimbursement from Participants Who Recover from Third Party Tortfeasors,” Journal of Pension Benefits (Summer 2006).

Ferrera, Tess J., author article, “Claims for Wrongful Denial of Benefits:  Who is the Proper Defendant?”  Journal of Pension Benefits (Spring 2006).

Ferrera, Tess J., author article, “Welfare Benefits, Insurance Commissions, Fees, and PEOs:  Limitations on Permissible Activities and Potential Pitfalls” NAPEO Legal Review, 2006, V. 4, Issue 2.

Ferrera, Tess J., author article, “Treatment and Eligibility Decisions:  Apparently Who Speaks Matters Afterall,” Journal of Pension Benefits (Winter 2005).

Ferrera, Tess J., author article, “DOL Expands and Simplifies Fiduciary Correction Program,” Journal of Pension Benefits (Autumn 2005).

Ferrera, Tess J., author article, “Department of Labor Issues Guidance on Market Timing and Late Trading,” Journal of Pension Benefits (Summer 2004).

Janich, Daniel. “A Tiered Approach to Equity Design with Multiple Equity Compensation Vehicles.” 16 The Journal of Employee Ownership Law and Finance 29, Winter 2004; reprinted or updated in Beyond Stock Options (NCEO, 2nd ed. 2004 – 9th ed. 2011).

Janich, Daniel. “If Not Options, Then What? Equity Compensation in Today’s Economy.” Workspan, September 2003, pp. 26-32.

Ferrera, Tess J., author article, “PEO Health Plans – MEWAs or Not?” NAPEO Legal Review, 2003, V.1., Issue 5.

Ferrera, Tess J., author article, “Eighth Circuit Sets Precedent on Standing and Statutory Exemption for Fiduciary Self-Dealing,” Journal of Pension Benefits (Autumn 2002).

Ferrera, Tess J., author article, “Department of Labor Finalizes Passive Cross-Trades Prohibited Transaction Exemption,” NSCP Currents (May/June 2002).

Janich, Daniel. “When Remarriage Muddies the Waters: QDROs & Surviving Spouse Protection.” 24 A.B.A. Sec. Pub. Family Advocate 39, Fall 2001; reprinted in 19 A.B.A. Sec. Pub. GP Solo 16, (March 2002).

Ferrera, Tess J., author article, “The Supreme Court Expands Persons Subject to Lawsuits Under ERISA,” NSCP Currents (January/February 2002).

Janich, Daniel. “Underwater Stock Options and Repricing Strategy: Is Your Company Drowning in Confusion?” 13 The Journal of Employee Ownership Law and Finance 17 (Fall 2001); reprinted in Stock Options: Beyond the Basics, (NCEO, 2nd ed. 2003) and Selected Issues in Stock Options (NCEO, 1st ed. 2004); updated in 18 The Journal of Employee Ownership Law and Finance 53, Winter 2006; reprinted or updated in Selected Issues in Equity Compensation (NCEO, 3rd ed. 2006 – 8th ed. 2011).

Ferrera, Tess J., author article, “The Supreme Court’s Dicta in Mertens on Nonfiduciary Liability Continues to Create Split Circuit Decisions,” Journal of Pension Benefits (Winter 2000).

Ferrera, Tess J., author article, “The Department of Labor’s Voluntary Compliance Fiduciary Correction Program,” Journal of Pension Benefits (Summer 2000).

Janich, Daniel. “2004-2005 Cumulative Supplements for Reporting and Disclosure, Substantive Regulation of Health Plans, and Civil Practice and Procedure.” Employee Benefits Law, Jane Kheel Stanley, ed. (BNA Books, 1st ed. 2000).

Ferrera, Tess J., author article, “When Does a Fiduciary Have an Affirmative Duty to Communicate With Participants,” Journal of Pension Benefits (Summer 1999).

Janich, Daniel.  “Recent Changes to the Minimum Distribution Rules for Tax-Qualified Retirement Plans.” Profit Sharing (July/August 1998).

Ferrera, Tess J., author article, “Eleventh Circuit Implies Plan Participants Can Be Named Fiduciaries:  Did the Court Really Mean That,” Journal of Taxation of Employee Benefits (March/April 1998).

Ferrera, Tess J., author article, “The 502(L) Penalty Has Got to Go,” Journal of Pension Benefits (Spring 1998).

Ferrera, Tess J., author article, “MEWAs:  Should They Be Brought Under Exclusive Federal Control?” Journal of Taxation of Employee Benefits (March/April 1997).

Ferrera, Tess J., author article, “When Do Assets Become ‘Plan Assets’ Under the New Employee Contribution Rules,” Journal of Taxation of Employee Benefits (Nov/Dec 1996).

Janich, Daniel. “When Is An ActivitySubstantially Related’ to a Health Care Institution’s Tax-Exempt Purpose? (Pts. 1 & 2).” 20 Journal of Health and Hospital Law 145, September 1987, 20 Journal of Health and Hospital Law 193, November 1987.