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401(k) and 403(b) Plan Litigation: Recent Cases, Investment Offerings, Issues for Plan Sponsors and Fiduciaries

Causes of Action, Defenses, Dismissals and Settlements, Best Practices for Avoiding and Managing Claims

Recording of a 90-minute premium CLE video webinar with Q&A

This program is included with the Strafford CLE Pass. Click for more information.
This program is included with the Strafford All-Access Pass. Click for more information.

Conducted on Thursday, September 29, 2022

Recorded event now available

or call 1-800-926-7926

This CLE course will discuss the new wave of retirement plan litigation involving fiduciary conduct relating to 401(k) and 403(b) plans. The program will review the cases filed to date, legal theories raised, defenses, settlements, dismissals, and the current state of the litigation.


Plan fiduciaries of 401(k) and 403(b) plans are increasingly the subject of suits alleging breach of fiduciary duty due to excessive fees, imprudent selection and monitoring of investment options, and underperforming plan investment options.

Recent cases include claims that fiduciaries should have leveraged the plan's assets to qualify for lower-cost share classes of plan offerings and lower-cost administrative and investment management services, chosen less costly or better-performing investment options for the plan, and pursued reduced recordkeeping fees. Furthermore, recent claims also allege the fiduciaries selected investment options that consistently underperformed.

Listen as our authoritative panel of ERISA litigators reviews the recent wave of retirement plan litigation involving 401(k) and 403(b) plans. The panel will discuss theories, defenses, dismissals, and the current state of litigation.



  1. Overview of litigation trends and developments
    1. Dismissed claims
    2. Pending litigation
  2. Defense perspective
    1. Theories of liability
    2. Defenses
  3. Best practices for counsel and fiduciaries


The panel will review these and other key issues:

  • What are the current trends in this wave of retirement fund litigation?
  • What are the theories plaintiffs allege to support claims against 401(k) and 403(b) fiduciaries?
  • What are the most effective techniques in avoiding and managing claims?


Bokert, Mark
Mark E. Bokert

Davis + Gilbert

Mr. Bokert is co-chair of the firm's Benefits + Compensation Practice Group. His practice encompasses nearly all...  |  Read More

Dolph, Ada
Ada W. Dolph

Seyfarth Shaw

With 17 years of experience as a labor and employment litigator with Seyfarth Shaw, Ms. Dolph is an advisor to clients...  |  Read More

Lempert, Scott
Scott M. Lempert

Kantor & Kantor

Mr. Lempert has engaged in litigating several complex ERISA class actions, including cutting-edge...  |  Read More

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