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ERISA May Not Shield ESOP Appraisers From State Law Liability

Federal appeals court considers whether ERISA pre-empts state law claims of professional malpractice against ESOP appraiser.

Kloots v. American Express Tax and Business Services, Inc.

Federal appeals court considers whether ERISA pre-empts state law claims of professional malpractice against ESOP appraiser.

Analysts Not Required to Predict the Future—Only to Probe Present Facts

In assessing fair value and adequate consideration of ESOP transaction, court considers whether appraiser should have reasonable foreseen future events affecting stock and company value.

Keach v. U.S. Trust Co.

In assessing fair value and adequate consideration of ESOP transaction, Court considers whether appraiser should have reasonable foreseen future events effecting stock and company value.

No Evidence That Board's Financial Advisor Was Fiduciary to ESOP

This was a motion for summary judgment in connection with an action for breach of fiduciary duty to the employee stock ownership plan (ESOP) of F&G company.

Owen v. SoundView Financial Group

At issue is whether or not the defendants' judments should be protected by registration in the area where he lives and works.

Former Trustee's Challenge of Valuation Method Fails

Plaintiff was an employee and director of the defendant SoundView Financial Group and was also a participant in and trustee of the company's 401(k) and profit-sharing plan.

Employees Get Nearly $9 Million for Value of 'Phantom Stock'

Plaintiffs were highly compensated executives who have sued their former employer and its owner for ERISA benefits allegedly due them under a phantom stock plan.

Marc E. LeBlanc, et al. v. Lawrence A. Cahill, et al.

The U.S. Court of Appeals for the Fourth Circuit affirmed the district court's grant of summary judgment on LeBlanc's claim of common law fraud. LeBlanc, an administrator of a pension fund, invested $15 million in a partnership operating hotels and owned ...

Due Diligence, Which Indicates Deficiencies in Seller’s Appraisal, Negates a Claim of Reliance on That Appraisal

The U.S. Court of Appeals for the 4th Circuit affirmed the district court's grant of summary judgment on LeBlanc's claim of common law fraud.

Emmenegger v. Bull Moose Tube Company

The plaintiffs claim that they were discharged in retaliation for exercising their rights under a phantom stock plan.

Foltz v. U.S. News & World Report

At issue is the undervaluation of plaintiff's interest in the defendant company at retirement.

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