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AARP Foundation - Legal Advocacy: Employee Benefits Docket - AARP ... Skip to content
 

Docket: Employee Pensions and Benefits

Case Name: Dorman v. Charles Schwab Corp.

Court: U.S. Ct. App. 9th Dir. Docket: 18-15281

Filed: 9/20/2019

Read AARP's Amicus Brief (PDF)

Case Issue: Should the Ninth Circuit grant rehearing en banc of its panel's ruling that employers, via arbitration contract, can strip individual 401(k) retirement plan participants of their right under ERISA to bring federal court actions for fiduciary breach on behalf of the entire plan, see 29 U.C.S. §§ 1132(a)(2) and 1109(a).


Case Name: Thole v. U.S. Bank

Court: U.S. Supreme Court Docket: 17-1712

Filed: 9/18/2019

Read AARP's Amicus Brief (PDF)

Case Issue: Can individuals sue for breach of fiduciary duty on behalf of the entire employee benefits plan, even if they haven't lost any benefits themselves yet?


Case Name: Hartshorne  v. The Roman Catholic Diocese of Albany, New York

Court: New York Supreme Ct., Schenectady County   Docket: 2019-1989

Filed: 9/10/2019

Read Complaint (PDF) and Press Release

Case Issue: Did the Defendants, including the Roman Catholic Diocese of Albany, violate New York state laws concerning contracts, promises, and fiduciaries when they either stopped paying or drastically reduced the pensions of former employees of St. Clare's Hospital?


Case Name: Teets v. Great-West

Court: U.S. Ct. App. 10th Cir. Docket: 18-1019

Decided: 4/22/2019

Read AARP's Amicus Brief (PDF) and Decision

Case Result: Appellate court upheld the district court's dismissal of plaintiff's ERISA claims on the basis that Great West was not acting as a fiduciary.


Case Name: Divane v. Northwestern University

Court: U.S. Ct. App. 7th Cir.     Docket: 18-2569

Filed: 1/24/2019

Read AARP's Amicus Brief (PDF)

Case Issue: Do plaintiffs claiming breach of fiduciary duty have to include details about defendants' operations that they could not possibly know in order to get past a motion to dismiss?


Case Name: Brotherston v. Putnam Investments

Court: U.S. Ct. App. 1st Cir.     Docket: 17-1711

Decided: 10/15/2018

Read AARP's Amicus Brief (PDF)

Case Result: The appeals court reinstated a case alleging that Putnam breached its fiduciary duty by, among other things, packing the 401(k) plan with an excessive number of high-cost proprietary Putnam funds. 


Case Name: Munro v. Univ. of S. Cal.

Court: U.S. Ct. App. 9th Cir.     Docket: 17-55550

Decided: 7/24/2018

Read AARP's Amicus Brief (PDF) and Decision

Case Result: The court denied USC's motion to compel arbitration because the Retirement Plan was not a party to the arbitration agreement. 


Case Name: Express Scripts/Anthem ERISA Litig (In re)

Court: U.S. Ct. App. 2d Cir. Docket: 18-346

Filed: 5/2/2018

Read AARP's Amicus Brief (PDF)

Case Issue: Did the complaint plausibly allege that Anthem and Express Scripts are both fiduciaries under ERISA's functional definition of a fiduciary and that they both breached their fiduciary duties? 


Case Name: U.S. Chamber of Commerce v. U.S. Dep't of Labor (Motion to Intervene and Petition for Rehearing)

Court: U.S. Ct. App. 5th Cir. Docket: 17-10238

Decided: 5/2/2018

Read AARP's Petition for Rehearing (PDF) and Motion to Intervene (PDF) Decision (PDF)

Case Result: In a 2-to-1 order, the Fifth Circuit panel denied AARP's motion to intervene to file a petition for rehearing en banc to review the court's invalidation of the Department of Labor's Fiduciary Rule that protects consumers from conflicts of interest when saving for their retirement.


Case Name: National Ass'n for Fixed Annuities v. DOL

Court: U.S. Ct. App. D.C. Cir. Docket: 16-5345

Dismissed: 3/23/2018

Read AARP's Amicus Brief (PDF) Order of Dismissal (PDF)

Case Result: The parties jointly stipulated to dismissal.


Case Name: Jammal v. Am. Family Ins. 

Court: U.S. Ct. App. 6th Cir.     Docket: 17-4215

Filed: 3/16/2018

Read AARP's Amicus Brief (PDF)

Case Issue: Was the district court correct in finding that American Family treated its insurance agents as employees?


Case Name: U.S. Chamber of Commerce v. U.S. Dep't of Labor

Court: U.S. Ct. App. 5th Cir. Docket: 17-10238

Decided: 5/2/2018

Read AARP's Amicus Brief (PDF) and Decision (PDF)

Case Result: The fifth circuit vacated the Department of Labor's Fiduciary Rule that protects consumers from conflicts of interest when saving for their retirement. 


Case Name: Santomenno v. Transamerica Life Ins.

Court: U.S. Ct. App. 9th Cir. Docket: 16-56418

Decided: 2/23/2018

Read AARP's Amicus Brief (PDF) 

Case Result: The Ninth Circuit held that retirement plan service providers cannot be liable as fiduciaries under federal benefits law for negotiating their compensation with employers or receiving the agreed-upon payments because the employer sponsoring the 401(k) plan is free to reject the deal. The court also found that Transamerica was not acting as an ERISA fiduciary when it withdrew no more than its predetermined compensation from 401(k) plan accounts because these actions were ministerial in nature and could not form the basis of a fiduciary breach claim. 


Case Name: Medina v. Catholic Health Initiatives

Court: U.S. Ct. App. 10th Cir.   Docket: 16-1005

Decided: 12/19/2017

Read AARP's Amicus Brief (PDF) and Order (PDF)

Case Result: CHI was a church plan and thus not covered by the federal pension law, ERISA.


Case Name: Medina v. Catholic Health Initiatives

Court: U.S. Ct. App. 10th Cir.   Docket: 16-1005

Decided: 12/19/2017

Read AARP's Amicus Brief (PDF) and Order (PDF)

Case Result: CHI was a church plan and thus not covered by the federal pension law, ERISA.


Case Name: Thrivent Financial for Lutherans v. Perez

Court: U.S. Dist Ct. Minn Docket: 16-cv-03289-SRN-HB

Decided: 11/3/2017

Read AARP's Amicus Brief (PDF) 

Case Result: The U.S. Dist. Court of Minnesota enjoined the Labor Department from enforcing the fiduciary rule's anti-arbitration provision against Thrivent, after DOJ changed its position, claiming the rule was at odds with federal law.

 


Case Name: Waldbuesser (formerly Grabek) v. Northrop Grumman Corp.

Court: U.S. Dist. Ct. CD Cal.    Docket: 06-cv-06213-R CJC

Settled: 10/24/2017

Case Result: A settlement of $16,750,000, 4 incentive awards of $25,000 each, expenses of $1,159,114, and attorneys' fees of $5,583,333. Does not include settlement of companion case Marshall v. Northrop Grumman for claims after May 11, 2009.


Case Name: Thole v. U.S. Bank

Court: U.S. Ct. App. 8th Cir.  Docket: 16-1928

Read AARP's Amicus Brief (PDF)

Decided: 10/12/2017

Case Result: Relying on a 2002 decision, the court held ERISA does not allow a participant in a defined benefit plan to bring a lawsuit claiming liability and injunctive relief for alleged breaches of fiducairy duties when the plan is overfunded. 


Case Name: Ariana M. v. Humana Health Plan of Texas

Court: U.S. Ct. App. 5th Cir.   Docket: 16-20174

Decided: 7/10/2017

Read AARP's Amicus Brief (PDF)

Case Result: Court granted rehearing to decide the proper standard of judicial review in benefit disputes.

 


Case Name: Osberg v. Foot Locker Retirement Plan

Court: U.S. Ct. App. 2d Cir.    Docket: 15-3602-cv

Decided: 7/6/2017

Read AARP's Amicus Brief (PDF)

Case Result: Foot Locker must pay workers higher pension benefits to correct a 1996 retirement plan change that amounted to an impermissible and undisclosed benefit freeze. The court said the workers weren't required to show on an individual basis that they detrimentally relied on Foot Locker's statements about their pensions.

 


Case Name: Advocate Health Care Network v. Stapleton consolidated with Saint Peter's Healthcare System v. Kaplan and Dignity Health v. Rollins

Court: U.S. Supreme Court   Docket: 16-74, 16-86, 16-258

Decided: 6/5/2017

Read AARP's Amicus Brief (PDF) and Article

Case Result: In an 8-0 decision, the U.S. Supreme Court held that the Employee Retirement Income Security Act (ERISA) exempts from its protections defined-benefit pension plans maintained not only by churches but also by organizations controlled by or affiliated with churches, even if the plans were not initially established by churches. We argued that Congress did not intend for ERISA's "church plan" exemption to reach organizations, such as multi-billion-dollar hospital chains, that provide commercially profitable secular services that were not initially provided by employees of a church. 


Case Name: Tussey v. ABB

Court: U.S. Ct. App. 8th Cir.    Docket: 15-2792

Decided: 3/9/2017

Read Summary and AARP's Amicus Brief (PDF)

Case Result: The court remanded the case to the district court to reevaluate its method of calculating the damage award for ABB's breach of fiduciary duty.


Case Name: Market Synergy Group v. DOL

Court: U.S. Dist. Ct. Kansas    Docket: 5:16-cv-04083-DDC-KGS

Decided: 2/17/2017

Read AARP's Amicus Brief (PDF)

Case Result: The decision rejected all of the challenges to the Department of Labor's conflict of interest regulation, thereby upholding the rule. 


Case Name: Fletcher v. Convergex

Court: U.S. Ct. App. 2d Cir.   Docket: 16-734

Decided: 2/10/2017

Read AARP's Amicus Brief (PDF)

Case Result: The second circuit held that the plaintiffs have standing to pursue a financial loss to their defined benefit plan.


Case Name: Chamber of Commerce v. DOL and Perez

Court: U.S. Dist. Ct. ND Tex.  Docket: 16-1476, 16-1530, 16-1537 consolidated

Decided: 2/9/2017

Read Summary and AARP's Memorandum (PDF)

Case Result: The decision rejected all of the challenges to the Department of Labor's conflict of interest regulation, thereby upholding the rule.


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