For over 25+ years, Jim has been providing expertise and advice on all aspects of ERISA and employee benefits plans, assisting clients and organizations to manage risk, structure deals, oversee compliance, and to protect the interests of their valued retirement plan participants and beneficiaries.

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Throughout his career, Jim has provided insight and direction for companies from startups to major multinational organizations. Highlights include:

• Subject matter expert and sought-after resource on employee benefit and retirement plan strategy (including benefit plan design), ERISA compliance, fiduciary liability, tax code, and compliance issues.
• Skilled in aligning employee benefit plans with changes in the legal and regulatory landscape
• Highly proficient in structuring and negotiating complex agreements.
• Leader and advisor on legal and regulatory developments, new investment products, marketing, and communications.
• Successful experience representing clients before the IRS, Department of Labor, and Pension Benefit Guaranty Corporation.
• Business-minded in providing client support to help set strategic direction and achieve organizational goals.
• Extensive experience presenting complex technical legal topics in plain English to a wide variety of audiences

Representative Experience

• Project lead for the complete overhaul of the fee disclosure framework of a major 401(k) recordkeeper to ensure enterprise-wide compliance with 408(b)(2) and 404a-4 requirements
• Conceptualized and built a new legal and compliance structure for multiple employer plans for one of the largest 401(k) plan providers in the U.S.
• Built and oversaw a legal and compliance program for a Pooled Plan Provider following the establishment of Pooled Employer Plans under the SECURE Act
• Restructured compliance for one of the largest defined contribution trust funds in the world
• Supported clients in every stage of the retirement plan life cycle, from inception, adoption, on-going compliance, and through to termination
• Represented clients in a wide variety of matters before the Internal Revenue Service, the Department of Labor, and the Pension Benefit Guaranty Corporation, including plan audits, private letter ruling requests, plan corrections under EPCRS and VFCP, and standard and distress terminations of defined benefit plans
• Regular public speaker on all aspects of employee benefits and pensions

Practice Areas

• Single Employer Benefits & Pension

Admissions

• New York
• Washington, D.C.
• Virginia
• Hawaii (inactive)

Education

• Albany Law School, Union University, J.D., (cum laude)
• University of Florida, B.A.

Honors & Awards

• Cash Balance Plans, 41 Tax Management Memorandum 55, February 14, 2000
• The PEPs Rally, Plan Consultant Magazine, April 5, 2024