Following is more information about the scope of our expertise and services: 

  • All matters related to tax-qualified plans (401(k), profit sharing, defined benefit, target benefit, employee stock ownership plans) maintained by public and privately held companies and tax-exempt organizations, including plan design and implementation, planning related to tax and ERISA compliance, drafting of plans and contracts, plan terminations, advice and consultation regarding qualified plan matters, determination letter filings, preparation of annual reports (Form 5500s), performance of annual testing requirements, including general nondiscrimination testing, and matters specifically related to collectively bargained plans.  We work collaboratively with our clients to achieve the desired results, in a focused, problem-solving manner.

  • Address and resolve plan defects (operational and formal), including preparation and filing of self correction submissions under both the Internal Revenue Service and the Department of Labor correction programs (EPCRS, DFVCP, VFCP).  No matter how simple or complicated the situation, we can address it.   We are willing to work "outside of the box" to address and correct issues in as favorable a manner to the client as possible.

  • Extensive experience with employee stock ownership plans (ESOPs), including feasibility analysis.  This includes S corporation ESOPs and C corporation ESOPs. 

  • Matters related to non-qualified deferred compensation plans and executive compensation for taxable and tax-exempt organizations, including the design and implementation of plans and the securing of benefits, and compliance with applicable Code and ERISA requirements, including Code Section 409A.  We work with clients to develop creative, goal-based deferred compensation solutions.

  • Extensive experience with employment contracts, severance agreements, change in control agreements, and related compensation matters.

  • Representing clients before the Internal Revenue Service, the Department of Labor and the Pension Benefit Guaranty Corporation regarding audit, examination and investigation matters.

  • ERISA Title I, fiduciary, prohibited transaction and plan asset matters.

  • Equity-based compensation programs, (e.g., non-qualified and incentive stock options, restricted stock, restricted stock units, phantom stock, stock appreciation rights, and employee stock purchase plans).

  • Change in control and business transaction matters, including planning, due diligence, and representation and warranty review, golden parachute payment planning and analysis.

  • Experience regarding the investment products used to fund pension and employee benefit programs. 

We know how to listen - and to quickly identify and solve issues.  We respond to our clients promptly.  We are solutions-oriented and address all matters as promptly and cost effectively as the situation allows. 

Let us help you address your ERISA and employee benefits issues, goals, problems and and concerns.