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Monthly Luncheon: "DOL Confidential - Understanding Retirement Plan Investigations" presented by Sam Henson, Senior ERISA Counsel for Lockton Retirement Services

  • 17 Oct 2013
  • 11:30 AM - 1:00 PM
  • Phoenix Country Club (at 7th Street and Thomas)


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DOL Confidential – Understanding Retirement Plan Investigations
Thursday, October 17, 2013

11:30 a.m. to 1:00 p.m.
Phoenix Country Club
7th Street and Thomas Road


This luncheon has been approved for ERPA credit.  Register now to attend and receive your ERPA credits. 


Presented by Sam Henson, Senior ERISA Counsel for Lockton Retirement Services

ERISA is one of the most cumbersome and complex laws employers must navigate, and no employer can afford to sail without a plan. The risk of being selected by the DOL for an investigation has never been higher. With an increased enforcement emphasis, fee disclosure regulations and the re-definition of fiduciary on the horizon, the DOL’s activity is presenting plans with difficult new compliance obligations. Avoiding a DOL investigation is the ultimate goal, but if selected, plans must be prepared in order to achieve the best outcome.  Learning objectives of this workshop will include:

  • Understand how the DOL is organized and operates;
  • Learn about the authority of the DOL under ERISA and what your fiduciary rights and obligations are;
  • Recognize how and why a benefit plan becomes selected for an investigation including red flags, targeted issues, and the DOL’s goals;
  • Learn about the process of the investigation, what the DOL is looking for, what your obligations to provide information are, and what you can expect to occur from beginning to end;
  • Finally, get tips and best practices to make the process run as smoothly as possible.      

Samuel A. Henson, J.D.


Sam serves as Senior ERISA Counsel for Lockton Retirement Services.  He is a subject matter expert on ERISA compliance, DOL/IRS activities, and the legislative landscape.  Prior to joining Lockton, Sam spent almost 10 years with the U.S. Department of Labor’s Employee Benefits Security Administration, where as a Senior Investigator, he conducted more than 150 complex civil and criminal investigations of employee benefits plans, service providers, and fiduciaries.  Sam also supervised enforcement efforts for benefit plans funded by prevailing wage laws under the Service Contract Act and Davis-Bacon Act.  He is a member of the American Benefits Council, DCIIA, ASPPA, ISCEBS, and has been a nationally featured speaker and writer on numerous fiduciary topics.  Sam earned his Juris Doctorate at the University of Missouri-Kansas City School of Law and holds CEBS, RPA, GBA, APM designations.  He is admitted to practice in Missouri and the U.S. District Court – Western District of Missouri. 


The statements and materials presented at WP&BC Phoenix Chapter events are solely the opinions of the speakers and do not represent the opinions or positions of WP&BC Phoenix Chapter. In addition, WP&BC Phoenix Chapter assumes no responsibility for the content or accuracy of the statements and materials presented by speakers at WP&BC Phoenix Chapter events.

Please feel free to reach out to WP&BC with any questions.
The Western Pension & Benefits Council Phoenix Chapter wants to continue to provide our members with the best experiences possible.

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