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  • LABOR DEPARTMENT PARTICIPATION IN ERISA LITIGATION AND SIGNIFICANT ISSUES IN LITIGATION Compiled by the Plan Benefits Security Division

    Office of the Solicitor

    CALENDAR YEAR 2013

    TABLE OF CONTENTS

    A. Employer Stock..............................................................................................1

    B. Financing the Employer.................................................................................10

    1. Collection of Plan Contributions .......................................................10

    2. Insurance Rebates ..............................................................................40

    3. Miscellaneous ....................................................................................40

    C. Financing the Union.......................................................................................48

    D. Prudence.........................................................................................................48

    E. Preemption .....................................................................................................52

    F. Participants' Rights and Remedies .................................................................53

    G. Section 510.....................................................................................................60

    H. Defensive Litigation.......................................................................................60

    I. Participant Loans ...........................................................................................60

    J. MEWAs .........................................................................................................60

    K. Financial Institution and Service Provider Cases ..........................................61

    L. Orphan Plans..................................................................................................65

    M. Contempt and Subpoena Enforcement...........................................................73

    N. Bankruptcy.....................................................................................................77

    O. Miscellaneous ................................................................................................81

    i

  • TABLE OF CASES

    A.D. Vallett, Solis v. (M.D. Tenn.) ........................................................................48

    Aguirre, Perez v. (N.D. Ill.) ......................................................................................65

    All American Rentals, Inc., Solis v. (N.D. Cal.) ....................................................10

    ALPA v. United Airlines (California Court of Appeals) .........................................52

    American Marble Products, Inc., Harris v. (D.S.C.) ..............................................11

    Anderson-McGriff Company, Solis v. (N.D. Ga.) ....................................................65

    Arendt v. Solis (9th Cir.) ...........................................................................................81

    Arlen-Jacob Manufacturing Co., Solis v. (N.D. Ill.) ..............................................11

    Atchison, Solis v. (S.D. Ohio) ..................................................................................66

    Austin Capital Management (not filed) ....................................................................49

    Avid Sportswear and Golf Corp., Solis v. (M.D. Fla.) ............................................66

    Awesome Enterprises, Solis v. (S.D. Fla.) ...............................................................11

    Bankert, Solis v. (not filed) .......................................................................................40

    Barboza v. California Assoc. of Firefighters (9th Cir.) ...........................................53

    Beacon Associates Management Corp., Solis v. (S.D.N.Y.) ....................................49

    Belding Hausman Inc., Solis v. (W.D.N.C.).............................................................11

    Bellamy, Perez v. (W.D. Va.) ..................................................................................12

    Black, Solis v. (N.D. Ohio and Bankr. N.D. Ohio) ..................................................12

    Boschwitz, Perez v. (D. Minn.).................................................................................12

    Botes, Solis v. (N.D. Ga.) ..........................................................................................12

    Bowman, Harris v. (D.N.J.) .....................................................................................41

    Breeden & Collier Co., Inc., Solis v. (E.D. Va.) ......................................................13

    i

  • Brown, Perez v. (E.D. Va. and Bankr. E.D. Va.)......................................................13

    Bruister, Solis v. (S.D. Miss.) ...................................................................................1

    BSML, Inc., Solis v. (S.D. Fla. and Bankr. S.D. Fla.) ..............................................13

    Bush, Harris v. (S.D. Ind.) ........................................................................................66

    California Pacific Bank, Perez v. (N.D. Cal.) ..........................................................2

    Capital Risk Insurance, Perez v. (S.D. Miss.) ..........................................................14

    Caputo, Solis v. (N.D. Fla.) .....................................................................................2

    Cardiografix, Inc., Solis v. (N.D. Cal.) ....................................................................14

    Celebration Events, Inc., Harris v. (D. Mass.) ..........................................................66

    Chambliss, Harris v. (W.D. Ky.) ............................................................................50

    CIGNA Corp. v. Amara (S. Ct. and D. Conn.) ........................................................54

    Cincy Fireprotection, Inc., Perez v. (S.D. Ohio) ......................................................73

    Clark, Perez v. (M.D. Pa.) ........................................................................................14

    Commander Carbon Salary Savings Plan, Perez v. (D.N.J.) ....................................66

    Conlon, Solis v. (E.D.N.Y.) .....................................................................................14

    Corinthian Custom Homes, Inc., Solis v. (M.D. Tenn.) ..........................................15

    Cottone, Harris v.; Cottone, In re (N.D. Ill. and Bankr. N.D. Ill.)............................41

    Counseling and Educational Consultants d/b/a Rumford Day Nursery, Inc., Perez v. (D.R.I.) ............................................................................15

    Covenant Equipment Corp., Harris v. (M.D.N.C.) ..................................................15

    Cozen O'Connor v. Tobits (E.D. Pa.) .......................................................................81

    ii

  • Crown Auto, Inc., Solis v. (C.D. Cal.) ......................................................................67

    Curry, Solis v. (S.D. Ind. and Bankr. S.D. Ind.) ........................................................15

    Custom Patio Rooms, Inc., Solis v. (W.D. Pa.) ........................................................67

    Dalton, Harris v. (D. Mass.) .....................................................................................60

    Daniels Electric Corp., Solis v. (D.N.H.) ................................................................16

    Danks, Solis v. (S.D. Ind.) .......................................................................................16

    David v. Alphin (4th Cir.) ........................................................................................54

    David J. Hardy Construction Co., Inc. 401(k) Plan, Harris v. (N.D.N.Y.) ...............67

    Davis, Solis v.; Davis, Perez v. (N.D. Ill. and Bankr. N.D. Ill.) .............................41

    Dayton Imaging Solutions, Inc., Harris v. (S.D. Ohio) ...........................................16

    Deighan, Perez v. (N.D. Ohio) .................................................................................17

    Diamond Air Freight, Inc., Solis v. (S.D. Fla.) ........................................................17

    Dietrich & Associates, Perez v. (E.D. Pa.) ...............................................................61

    Digital Satellite Services, Inc., Perez v. (D.S.C.) .....................................................3

    Doll, Perez v. (D. Neb.) ...........................................................................................17

    Doyle, Solis v. (D.N.J. and 3d Cir.)...........................................................................60

    DTK Computer Inc., Perez v. (C.D. Cal.) .................................................................67

    Dudenhoffer v. Fifth Third (6th Cir. and S. Ct.)........................................................3

    Dynasty Construction, Inc., Solis v. (D. Md.) ..........................................................50

    Embrenche LLC, Solis v. (M.D.N.C.) ......................................................................17

    Emergystat, Harris v. (N.D. Ala.) ............................................................................67

    Empact Medical Services, Harris v. (W.D. Tenn.) ..................................................18

    England, Solis v. (E.D. Pa.) .....................................................................................18

    iii