Service Description
When it comes to retirement plan administration and fiduciary obligations, legal counsel often requires assistance in formulating strategy and analyzing complex financial information. Our professionally accredited experts can provide such litigation support.
What is the Process?
We partner with counsel to investigate alleged compliance management deficiencies in plan operations, investments or fiduciary processes. We can provide litigation support at all stages including:
Pre-trial
- Analyze currently available information
- Assist in designing discovery requests
- Develop interrogatories for use in depositions
- Assist with plan specific aspects of pleadings
- Provide affidavits regarding plan information
Trial
- Expert witness assistance
Clients who know errors have occurred often want to avoid litigation and control any penalties due to the government. Once deficiencies have been identified, we can be engaged directly by, and work in support, of counsel, during either the self-correction or agency audit processes.
The Team
We have assembled an experienced, capable and credentialed team. Staff members have earned the following designations:
- AIFA® (Accredited Investment Fiduciary Auditor)
- APM (Associate Professional Member of ASPPA)
- CEBS (Certified Employee Benefits Specialist)
- CFE (Certified Fraud Examiner)
- CPA (Certified Public Accountant)
- CPC (Certified Pension Consultant)
- EA (IRS Enrolled Agent)
- GBA (Group Benefits Associate)
- J.D. (Juris Doctor)
- QKA (Qualified 401k Administrator)
- QPA (Qualified Plan Administrator)
- PRP (PLANSPONSOR Retirement Professional)
As you can see, our staff has training and expertise in many areas where counsel may need assistance. They also have immediate access to the full resources of other business units of Brown Smith Wallace, L.L.C., such as forensic accounting and employee benefit plan auditing.
If you would like to receive more information, contact Patrick Shelton, GBA at 314.983.1212.
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