Marcia S. Wagner

Marcia S. Wagner

Attorney Profile

Top Rated Employee Benefits Attorney in Boston, MA

The Wagner Law Group, A Professional Corporation
 | 99 Summer Street, 13th Floor
Boston, MA 02110
Phone: 617-357-5200
Fax: 617-357-5250
Selected To Super Lawyers: 2005 - 2019
Licensed Since: 1987
Education: Harvard Law School
Practice Areas:
  • Employee Benefits
Attorney Profile

As the founding partner of her own international law firm in Boston, Massachusetts, Marcia S. Wagner concentrates her practice on estate planning and employment law. For 25 years, she has dedicated her practice to providing exemplary assistance to multinational businesses, sole proprietors, nonprofits and other entities around the world in matters involving employee benefits, ERISA claims and human resources disputes. Over the course of her career, Ms. Wagner has established herself as a national authority on HIPAA compliance and ERISA/employee benefits law, having appeared on national networks such as CNN, C-SPAN, Bloomberg Television and Fox News. In addition, she has published more than 115 articles and 10 books, and scores of journals and periodicals have cited her.

In 1983, Ms. Wagner graduated from the London School of Economics and Political Science with a general course degree in economics. She graduated with a distinction indicating that she was in the top 5 percent of foreign students in her class. The following year, she earned an undergraduate degree in both economics and government from Cornell University, graduating summa cum laude and with distinction in every subject. She was a member of Phi Beta Kappa, Phi Kappa Phi and Alpha Lambda Delta and made the dean’s list each semester. In 1987, Ms. Wagner obtained her law degree from the prestigious Harvard Law School, and she was named to Who’s Who Among American Law Students.

On account of her authoritative knowledge and numerous accomplishments, Ms. Wagner has been honored with nearly 50 awards and other commendations, including Martindale-Hubbell's AV-Preeminent* rating and inclusion in several lists of the top professionals in her field. Licensed to practice law before the state courts of Massachusetts and the federal district court for the District of Columbia, she assists clients in 45 states and worldwide.

*AV-Preeminent and BV-Distinguished are certification marks of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell is the facilitator of a peer review rating process. Ratings reflect the confidential opinions of members of the Bar and the judiciary. Martindale-Hubbell ratings fall into two categories – legal ability and general ethical standards.

About Marcia Wagner

Admitted: 1987, Massachusetts

Professional Webpage: http://www.erisa-lawyers.com/marcia-wagner.html

Honors/Awards:

  • Top 10 Corporate Lawyers, Boston Women's Business Journal and The Boston Herald, January 2009
  • Boston's Best Lawyers, The Boston Globe Magazine and Boston.com, 2008
  • Best Lawyers in America: 2008 Edition
  • Who's Who Among Executives and Professional Women – Honors Edition, Representing Boston, MA, Biltmore Who's Who, January 2007
  • Top 100 Massachusetts Lawyers, Boston Magazine, November 2006
  • Who's Who Among Executive and Professional Women – Honors Edition, Representing Boston, MA, Empire Who's Who, July 2005
  • Best Lawyers in America, 2005 Editions
  • John M. Olin Law and Economics Research Fellowship, Who's Who Among American Law Students, Economics Teaching Fellowship at Harvard College, Harvard Law School, 1987
  • Delegate, Harvard Law School, 2003
  • Boston's Top Rated Lawyers, The Boston Globe, 2012
  • New England Employee Benefits Council Best Practices Award, 2002
  • "Top ERISA Attorney," Fiduciary News readers, June 2011
  • Commissioner's Award, IRS Tax Exempt & Government Entities Division, 2010
  • Top 50 Female Attorneys in Massachusetts and New England, Law and Politics Magazine, 2009
  • 100 Most Influential People in The 401(k) Industry for 2009, 401(k) Wire (Ms. Wagner is No. 76)
  • List of the Best Lawyers, The Best of the U.S. 2008
  • Top 50 Women Lawyers, Boston Magazine, November 2007
  • International Biographical Centre Lifetime Achievement Award, International Biographical Centre, Cambridge, England January 2007
  • A Great Mind of the 21st Century: ERISA/Employee Benefits, American Biographical Institute, October 2006
  • Who's Who Among Executive and Professional Women – Honors Edition, Manchester's Who's Who, July 2005
  • Best Lawyers in America, 2006 Editions
  • Fellow, American College of Employee Benefits Counsel, September 2008
  • Best Lawyers: Employee Benefits, Corporate Counsel, September 2003
  • 100 Most Influential People in The 401(k) Industry for 2012, 401(k) Wire (Ms. Wagner is No. 21)
  • Distinguished Author, presented by Bureau of National Affairs, Tax Management, Inc., 1994
  • One of the Top 25 Attorneys in the inaugural issue of Boston Business Journal's Who's Who of Attorneys in New England
  • Boston's Best Lawyers, The Boston Globe and Boston.com, 2010
  • Boston's Best Lawyers, The Boston Globe and Boston.com, 2009
  • The Best Lawyers in America: Employee Benefits Law, 2009
  • 100 Most Influential People in The 401(k) Industry for 2008, 401(k) Wire (Ms. Wagner is No. 73)
  • Special 25th Anniversary Edition of Best Lawyers in America: Employee Benefits Law, 2007
  • Top 50 Women Lawyers, Boston Magazine, November 2006
  • Best Lawyers: Employee Benefits, Corporate Counsel, October 2006
  • AV Peer Review Rating, Very High to Preeminent Legal Ability and Integrity, LexisNexis Martindale-Hubbell, June 2005
  • Best Lawyers in America, 2007 Editions
  • New England’s Best Lawyers, 2013 Edition
  • Best Lawyers: Employee Benefits, Corporate Counsel, May 2005
  • Top Women of Law, Massachusetts Lawyers Weekly, 2011
  • Life Member, National Registry of Who's Who, published in 1999 Edition
  • 100 Most Influential People in The 401(k) Industry for 2011, 401(k) Wire (Ms. Wagner is No. 27)
  • 100 Most Influential People in The 401(k) Industry for 2010, 401(k) Wire (Ms. Wagner is No. 40)

Bar/Professional Activity:

  • Boston Bar Association, ERISA/Employee Benefits Law Committee, 1990
  • District of Columbia, December 1987
  • Legg Mason Retirement Advisory Council, 2010
  • Advisory Board on Compensation Planning for Tax Management, Inc., 1993
  • American Arbitration Association, Council of Arbitrators (focus areas: ERISA/employee benefits law), 1993 - 1995
  • American Bar Association, Tax Section, Employee Benefits Committee, 1990
  • Massachusetts, November 1987
  • Massachusetts Bar Association, Tax Section Council, 1992
  • Employee Benefits Subcommittee Chair, Tax Exempt and Government Entities, IRS Advisory Committee, 2010
  • Membership to the National Association of Professional Women, 2007 - 2008
  • Advisory Board for Pension Assistance Project of Gerontology Institute of UMass Boston, 1993 - 1997
  • Profit Sharing/401(k) Council of America, Editorial Advisory Committee, 2005
  • IRS Key District Office, Brooklyn, NY, Pension Liaison Committee, 1992
  • Tax Exempt and Government Entities, IRS Advisory Committee, 2007 - 2010
  • Harvard Law School, 10th, 15th, 20th and 25th Reunion Committee
  • Advisory Council for Foundation for Fiduciary Studies, Joseph M. Katz School of Business, University of Pittsburgh, 2004
  • Member, Commonwealth Institute - Million Dollar Circle, 2005

Pro bono/Community Service:

  • Jewish National Fund, 2005
  • Legg Mason Retirement Advisory Council, 2010
  • Board of Directors, Boston Modern Orchestra Project, 1998 - 2000
  • Standard & Poor's Retirement Planning Services Advisory Board, 1999 - 2000

Scholarly Lectures/Writings:

  • "Seminar on 1996 Tax Legislation," October 1996, Massachusetts Bar Association
  • "New Section 401(a)(4) Regulations Package," October 1990, Boston Bar Association
  • "How the New Nondiscrimination Rules Affect the Structure and Operation of Qualified Plans," October 1990, Massachusetts Continuing Legal Education, Inc.
  • "Understanding Pension Plans," June 1991, The American Tax Planning Center
  • "Employee Benefits Update '92," February 1992, Massachusetts Continuing Legal Education, Inc.
  • "Disqualification: Questions, Answers and Solutions," November 1992, Boston Bar Association
  • "Employee Benefits: Form 5500 Workshop," November 1992, The Foundation for Continuing Education, Inc.
  • "ERISA Basics: Part I," December 1992, Massachusetts Bar Association (Chairperson)
  • "Advising Small Businesses," January 1993, Massachusetts Continuing Legal Education, Inc.
  • "ERISA Basics: Part II," May 1993, Massachusetts Bar Association (Chairperson)
  • "The Clinton Deficit Reduction Tax Legislation," September 1993, Massachusetts Bar Association
  • "Employee Benefits for the Nonspecialist," October 1993, Massachusetts Continuing Legal Education, Inc.
  • "Plan Disqualification and Correction," Lecture and Workshop, February 1994, Tax Management Educational Institute Compensation Planning '94 (Scottsdale, Arizona)
  • Lecturer at Employee Plans Practitioner Series, sponsored by Brooklyn Key District and District's Pension Liaison Group, March 1994
  • "Advising Small Businesses," May 1994, Massachusetts Continuing Legal Education, Inc.
  • "Plan Disqualification Issues," September 1994, Guest Speaker at Annual Meeting of the Boston Society of Actuaries
  • "Section 403(b) Compliance: What are the Issues and Alternatives?," November 1994, Guest Speaker at Estate and Business Planning Council of Worcester County
  • "Update Regarding Brooklyn IRS Key District Office Pension Liaison Issues," February 1995, Open Meeting of Massachusetts Bar Association Section of Taxation
  • "Common ERISA Problems for Employment Lawyers," March 1995, Massachusetts Bar Association (Co-Panelist with Department of Labor Representatives)
  • "Fiduciary Responsibility Under ERISA and the Role of ERISA Section 404(c)," March 1995, Guest Speaker at Harvard Kennedy School Symposium for Prudential Securities
  • "Correcting Plan Defects: From VCR to CAP," May 1995, New York University Institute on Federal Taxation
  • "Developing a 401(k) Investment Education Program," May 1995, The Philadelphia Institute
  • "Advising Small Businesses," June 1995, Massachusetts Continuing Legal Education, Inc.
  • "Plan Disqualification Issues," September 1995, 1995 Midwest Pension Conference (Kansas City, Missouri)
  • "Plan Terminations: How to File a Determination Letter Request," May 1996, American Institute of Certified Public Accountants, 1996 Employee Benefits Conference (Baltimore, Maryland)
  • "Advising Small Businesses," June 1996, Massachusetts Continuing Legal Education, Inc.
  • "Federal Tax Legislative Update," November 1996, Massachusetts Bar Association
  • "ERISA and Employee Benefits Law After the Recent Legislation," November 1996, CPA and Business EXPO, Massachusetts Society of Certified Public Accountants
  • "Pension Law: What's New, What's Not," November 1996, Massachusetts Bar Association (Chairperson)
  • "Flash Points and Red Flags in ERISA That Can Make - or Lose - Money for Your Company," December 1996, New England Corporate Counsel Association
  • "ERISA Update," March 1997, Boston Bar Association
  • "Employee Discharge and Documentation," March 1997, Lorman Business Centers, Inc. (Nashua, NH)
  • "Advising Small Businesses," May 1997, Massachusetts Continuing Legal Education, Inc.
  • "Employee Benefits Conference - Plan Corrections Programs," May 1997, Joint Conference sponsored by Northeast Key District Office of Internal Revenue Service and American Society of Pension Actuaries (White Plains, NY)
  • "ALI-ABA - Basic Law of Pensions, Welfare Plans and Deferred Compensation," July 1997 (Boston, MA). Topics: Participants' Rights for Administrative Claims Procedures and Implementing the Rollover Rules
  • "Recordkeeping and Reporting Under ERISA," August 1997, Lorman Business Center, Inc. (Manchester, NH)
  • "Investment Advice Under New Prohibited Transaction Exemption," November 1997, Advisory Board of Tax Management, Inc. (New York, NY)
  • "Effects of Plan Disqualification," January 1998, National CLE Conference by Law Education Institute, Inc. (Vail, Colorado)
  • "The Provision of Investment Advice Under Prohibited Transaction Exemption 97-60," February 1998, the Association of the Bar of the City of New York - Committee on Employee Benefits (New York, NY)
  • "Benefits Upon Termination," March 1998, Lorman Business Centers, Inc. (Nashua, NH)
  • "Advising Small Businesses," June 1998, Massachusetts Continuing Legal Education, Inc.
  • "Recordkeeping and Reporting Under ERISA," June 1998, Lorman Business Center, Inc. (Lexington, MA)
  • "ALI-ABA - Basic Law of Pensions, Welfare Plans and Deferred Compensation," July 1998 (Palo Alto, CA). Topics: Participants' Rights for Administrative Claims Procedures and Implementing the Rollover Rules
  • "Changes in Required Minimum Distribution Rules," October 1998, (Boston, MA). Conference of Consulting Actuaries Annual Meeting
  • "Fiduciary Issues for Plan Sponsors and Providers," November 1998, Institute for International Research (Atlanta, Georgia)
  • "What Constitutes 'Education'?… What Constitutes 'Advice'? - The Final Word," December 1998, International Business Communications (New York, NY)
  • "The 1999 Congress on Defined Contribution Plans," March 1999, Institute for International Research, Institutional Retirement and Savings Plan Series, (New Orleans, LA)
  • "Client Symposium: Education vs. Advice for Retirement Plans," May 1999, Wachovia Investment Bank Institutional Trust and Retirement Services Client Conference (Williamsburg, Virginia)
  • "Employee Discharge and Documentation," March 1999, Lorman Business Center, Inc. (Manchester, NH)
  • "Retirement Plan Basics," May 1999 and June 1999, International Foundation of Employee Benefit Plans-Certificate Series; (Towers Perrin, Voorhees, N.J. and Employee Benefits Certificate Credit Course, New York, NY)
  • "Investment Advice vs. Investment Education: Legal Risks, Opportunities & Dilemmas - How the Law is Evolving," May 1999 and June 1999, Investment Management Institute & Institute of Management & Administration, Inc. (Pasadena, California and New York, New York)
  • "ALI-ABA - Basic Law of Pensions, Welfare Plans and Deferred Compensation," July 1999 (Boston, MA). Topics: Participants' Rights for Administrative Claims Procedures and Implementing the Rollover Rules
  • "Recordkeeping and Reporting under ERISA," October 1999, Lorman Business Center, Inc. (Bedford, NH)
  • "Cash Balance Pension Plans: New Directions? New Dangers?," November 1999, Jewish Labor Committee
  • "The Next Generation of Client Retention - Enhancing Retention Through Partnership Management," Institute for International Research, (New York, NY) November 1999
  • "Investment Advice v. Investment Education," November 1999, 29th Annual Pension Trust and Employee Benefits Seminar at University of South Carolina, (Columbia, SC)
  • "Employee Discharge and Documentation," March 2000, Lorman Business Center (Bedford, NH)
  • "Friend or Foe? The Pros and Cons of the New Department of Labor Voluntary Fiduciary Correction Program," May 2000, Tax Management Memorandum Presentation (New York, NY)
  • "Investment Advice vs. Investment Education: Legal Risks, Opportunities & Dilemmas - How the Law is Evolving," June 2000, Pension Group East (New York, NY)
  • "ALI-ABA - Basic Law of Pensions, Welfare Plans and Deferred Compensation," August 2000 Topics: Participants' Rights for Administrative Claims Procedures and Implementing the Rollover Rules (San Francisco, CA)
  • "Employee Discharge and Documentation," March 2001, Lorman Business Center (Bedford, NH)
  • "Fiduciary Responsibility and Liability in the Age of Web Based Technology," May 2001, Institute for International Research, (New York, NY)
  • "IRS and DOL Voluntary Compliance Programs," June 2001, Joint Conference sponsored by Northeast Key District Office of the Internal Revenue Service and American Society of Pension Actuaries, (Natick, MA and White Plains, NY)
  • "ALI-ABA - Basic Law of Pensions, Welfare Plans and Deferred Compensation," July 2001 Topics: Participants' Rights for Administrative Claims Procedures and Implementing the Rollover Rules (Boston, MA)
  • "ERISA Issues to be Aware of Pre-IPO," November 2001, Massachusetts Biotechnology Council (Boston, MA)
  • "Protecting Employees' 401(k) Investments - Handling Investment Advice and Blackout Periods," May 2002, National Institute of Pension Administrators, Inc. (Newton, MA)
  • "Legal Perspectives - Advice, Communications and Education," June 2002, Pension Group East (New York, NY)
  • "Issues Facing Plan Fiduciaries," June 2002, Joint Conference Sponsored by Northeast Key District Office of the Internal Revenue Service and American Society of Pension Actuaries (Natick, MA and White Plains, NY)
  • "ALI-ABA - Advanced Law of Pensions, Welfare Plans, and Deferred Compensation," July 2002 Topics: Statutes of Limitations: Plans and IRAs; Cutbacks (Good and Bad); Who is an Employee? For What Purposes? (Boston, MA)
  • "Nuts and Bolts of 401(k) Plans," July 2002, Lorman Business Center (Melville, NY)
  • "Advising Your Clients Regarding Small Business Retirement Plans," October 2002, Massachusetts Bar Association (Boston, MA)
  • "Flash Points, Red Flags and Interesting Issues in Maintaining ERISA Plans," October 2002, Presentation to Biotechnology Industry Organization (Seattle, WA)
  • "ERISA: Pension Plan Development and Administration in Massachusetts," November 2002, Lorman Education Services (Peabody, MA) (Chairperson)
  • "HIPAA Privacy Rules," January 2003, Medical Claims Services (Newton, MA)
  • "ERISA Issues in Mergers and Acquisitions," February 2003, William Gallagher Associates (Waltham, MA)
  • "Fiduciary Responsibilities and Liabilities," March 2003, Society of Enrolled Actuaries (Washington, D.C.)
  • "DOL and Title I Issues," June 2003, Joint Conference Sponsored by Northeast Key District Office of the Internal Revenue Service and American Society of Pension Actuaries (Boston, MA and White Plains, NY)
  • "ALI-ABA - Basic Law of Pensions, Welfare Plans and Deferred Compensation," July 2003, Topics: Participants' Rights for Administrative Claims Procedures and Implementing the Rollover Rules (Boston, MA)
  • "Insider Trading And Market Timing in the Mutual Fund Industry - What is a Fiduciary to Do?," December 2003, Pension Group East (NY, NY)
  • "Overcoming 401(k) Inertia with Managed Accounts," March 2004, IOMA (a Division of the Bureau of National Affairs) Audio Conference
  • "Title I of ERISA - Fiduciary Concerns," June 2004, Joint Conference Sponsored by Northeast Key District Office of the Internal Revenue Service and American Society of Pension Actuaries (Boston, MA and White Plains, NY)
  • "ALI-ABA - Advanced Law of Pensions, Welfare Plans, and Deferred Compensation," July 2004 Topics: Selected Issues in Plan Terminations; Selected Issues regarding Contingent Workers (Boston, MA)
  • "Fiduciary Updates," September 2004, Eastern Massachusetts Conference of IMA Chapters
  • "Roundtable of Current ERISA Issues," September 2004, Profit Sharing Council of America (New Orleans, LA)
  • "Prudent Practices for Fiduciaries," October 2004, Wachovia Retirement Services (Boston, MA and New York, New York)
  • "Health Savings Accounts and Health Reimbursement Accounts - Client Seminar," November 2004, Fred C. Church Insurance Agency (Chelmsford, MA)
  • "How to Be Prepared For and Survive a Department of Labor ERISA Audit" December 2004, Foundation for Fiduciary Studies, Joseph M. Katz School of Business, University of Pittsburgh (Burlington, MA)
  • "How to Uncover and Evaluate 401(k) Fees, Expenses and Revenue Sharing Arrangements," February 2005, New England Employee Benefits Council (Boston, MA)
  • "Update: ERISA Recent Changes Affecting Federal Benefits Plans and Executive Compensation Arrangements," April 2005, Fourth Annual Labor and Employment Law Update, NH Bar (Manchester, NH)
  • "Annual Labor Law Update," May 2005, The Merrimack Valley Chamber of Commerce, Wyndham Hotel (Andover, MA)
  • "DOL Issues and Initiatives," June 2005, Joint Conference Sponsored by Northeast Key District Office of the Internal Revenue Service and American Society of Pension Actuaries (Boston, MA and White Plains, NY)
  • "ALI-ABA - Understanding Current Pension and Employee Benefits Law and Practice," August 2005 Topics: Health Savings Account Alternatives, Cafeteria Plans; Rollover and Rollbacks (Boston, MA)
  • "33rd Annual Robert Fuchs Labor Law Conference," October 2005, DOL Panel on ERISA (Suffolk Law School, Boston, MA)
  • "Employee Benefit Plan Hidden Traps and How to Avoid Them," January 2006, Teleconference Lorman Seminar (Moderator and Speaker)
  • "Select Issues In ERISA and Employee Benefits," April 2006, MA CPA South Shore Breakfast Forum Meeting (Braintree, MA)
  • "DOL Issues and Initiatives: What You Don't Know Can Hurt You," June 2006, Joint Conference Sponsored by Northeast Key District Office of the Internal Revenue Service and American Society of Pension Actuaries (Boston, MA and Tarrytown, NY)
  • "ALI-ABA - Current Pension and Employee Benefits Law and Practice," July 2006 Topic: What Type of Plan is Preferable for Your Client? (Boston, MA)
  • "Health Reimbursement Arrangements, Health Savings Accounts, Section 125 Cafeteria Plans and COBRA," Lorman Seminar, July 2006, Topics: Overview of HSAs and Health FSAs and HIPAA Privacy and Security (Boston, MA)
  • "Highlights of Changes in ERISA Law and Best Practices," September 2006, Council of Engineering and Scientific Society Executives, Finance & Administration Committee (Woods Hole, MA)
  • "Select Issues Under ERISA: Fiduciary Responsibility, Hidden 401(k) Plan Fees and Highlights of Pension Protection Act of 2006," October 2006, CMEA, The Employers' Association (Worcester, MA)
  • "Putting the Pension Protection Act to Work for Your Organization," February 2007, New England Employee Benefits Council (John Hancock Center, Boston, MA)
  • "Properly Documenting Welfare Plans," March 30, 2007, North Shore Human Resources Support Group Meeting (North Andover, MA)
  • "Things Your Consultant Might be Reluctant to Discuss," May 2007, National Retirement Partners (White Plains, NY)
  • "Recent ERISA Litigation and Related Matters," May 2007, ASPPA Litigation and Retirement Programs Session (Tampa, Florida)
  • "Hidden 401(k) Plan Fees and Expenses and Massachusetts Health Care Law," May 2007, MA CPA South Shore Breakfast Forum Meeting (Braintree, MA)
  • Nite Beat with Barry Nolan, CN8, The Crisis with Pension Plans, September 2004
  • Nite Beat with Barry Nolan, CN8, Pension Legislative Proposals, October 2004
  • Bloomberg Today with Kathleen Hays, Bloomberg Television, State Street Subprime Damages May Reach 12 Times Reserve Amount, May 2008
  • Washington Journal, C-SPAN, Economy and Retirement Security, June 5, 2010
  • The Street, Pension Plans: Not Dead Yet?, June 30, 2010
  • NECN, Poor Man's Pension, August 4, 2010
  • The Willis Report, Fox Business Network, U.S. Wants to Help You Save For Retirement, September 13, 2010
  • KRON 4 - San Francisco, Auto IRA Act and How This Affects Retirement Plans, October 9, 2010
  • The Strategy Room with Tracy Byrnes, Fox News, Pension Plan Liabilities to PBGC, October 11, 2010
  • The Strategy Room with Tracy Byrnes, Fox News, New 401(k) Rules: What You Need to Know, November 19, 2010
  • 9News.com, NBC News, Flexible Spending Account: Use it or Lose it, December 28, 2010
  • Squawk on the Street, CNBC, Managing Problems with your 401(k), March 17, 2011
  • News Room, CNN, Last-Minute Tax Tips, April 9, 2011
  • Fox Business News, Pension Problems, May 17, 2011
  • Al Jazeera TV, 401(k) Plan Fees, September 1, 2013
  • "Significant Recent Changes in Title I of ERISA and Overview of Massachusetts Health Care Law," June 2007, IRS/ASPPA Northeast Benefits Conference (Boston, MA and New York, NY)
  • "Default Investments and Investment Advice Under PPA," June 2007, IOMA Audio Conference
  • "Massachusetts Health Care Reform Act," June 2007, Yozell Associates (Cambridge, MA)
  • "Things Your Consultant Might be Reluctant to Discuss," June 2007, Putnam Investments (Boston, MA)
  • "Nonqualified Deferred Compensation: IRS Requires Action in 2007," July 2007, Benefits Group Worldwide Associates Teleconference
  • "Staying Ahead of the Curve: Fiduciary Issues, 401(k) Fees and Practices, and New 403(b) Regulations," September 6, 2007, Advantage 2007 Schwab Plan Administrator Services National Conference (San Francisco, CA)
  • "401(k) Fees-Litigation and Best Practices; Disclosure to Plan Participants," September 11, 2007, Pension Group East (New York, NY)
  • "Final Regulations Under Section 403(b) of the Internal Revenue Code," September 20, 2007, SageView Advisory Group (Boston, MA)
  • "Fiduciary Liability Insurance, Bonding, and Service Agreements for Sponsors"; "Evaluation of Plan Advisors by Plan Sponsors"; "Fiduciary Issues & Status in Ever Changing Legal Landscape: Things You Need to Know," September 30 - October 3, 2007, CFDD Advisor Conference (Scottsdale, Arizona)
  • "Fiduciary Issues in an Evolving Landscape: 401(k) Fees and Best Practices, and a Discussion of Section 409A," October 24, 2007, Wachovia Retirement Services' Advisory Council Meeting (Miami, Florida)
  • Fiduciary Issues and Status in an Ever Changing Legal Landscape: Things You Need To Know," 2007
  • "Criminal Issues Regarding Title I Investment Breaches," November 15, 2007, BNA Tax Management Portfolio Meeting (Boston, MA)
  • "Final Regulations Under Section 403(b) of the Internal Revenue Code," December 14, 2007, National Webcast Seminar
  • "Fiduciary Issues in a Changing Legal Landscape," February 4, 2008, 2008 IMCA New York Consultants Conference (New York, NY)
  • "Who is a Fiduciary," February 24-27, 2008, The Trust Advisors Forum (Pinehurst, North Carolina)
  • "ERISA Section 408(b)(2) Fee Disclosures: Impact on Broker-Dealers," May 13, 2008, John Hancock Retirement Plan Services Broker Dealer Executive Roundtable (Boston, MA)
  • "Retirement Planning Programs: The Essential Elements," June 6, 2008, New England Employee Benefits Council (Waltham, MA)
  • "Current Issus Under Title I of ERISA," June 12 and 13, 2008, 2008 Northeast Area Benefits Conference (Boston, MA and New York, NY)
  • "The Top 5 ERISA Issues For 2008," June 16 and 17, 2008, Putnam Conference 401(k) Golden Scale Council (Boston, MA)
  • "ERISA Litigation: The Evolving Landscape and the Fiduciary Quagmire," July 23, 2008, MCLE Conference Center (Boston, MA)
  • "ERISA Section 408(b)(2) Fee Disclosures: Impact on Broker-Dealers," August 14, 2008, The 6th Annual Retirement Alliance Sales Summit (Meredith, NH)
  • "ERISA Fiduciaries, 401(k) Fee Litigation, and Other Significant ERISA Cases," September 17, 2008, Planadvisers Second Annual National Conference (Orlando, FL)
  • "The Entrepreneurial Leader: Launching Your Own Law Firm," September 20, 2008, The Women's Leadership Summit, Harvard Law School Alumni Relations (Cambridge, MA)
  • "ERISA Fiduciaries, 401(k) Fee Litigation, Rollover Matters and Other Litigation," October 7, 2008, Presentation for MassMutual (Springfield, MA)
  • "ERISA Section 408(b)(2) Fee Disclosures: Impact on Broker Dealers"; "ERISA Fiduciaries: 401(k) Fee Litigation, Rollover Matters and Other Litigation," October 13, 2008, CFDD 2008 Advisor Conference (Scottsdale, AZ)
  • "IRS Getting Involved with Governmental Plans," October 14, 2008, NPCERS 2008 Public Safety Employees Pension & Benefits Conference (Palm Springs, CA)
  • "DB Investment Summit Washington Update Panel Discussion," October 29, 2008, PlanSponors 3rd Annual DB Investment Summit (Ryebrook, NY)
  • "ERISA Fiduciaries, 401(k) Fee Litigation and Other Significant ERISA Cases," October 30, 2008, MA CPA Forum Meeting (Braintree, MA)
  • "ERISA Section 408(b)(2) Fee Disclosures: Impact on Broker-Dealers," December 19, 2008, John Hancock Financial Services (Boston, MA)
  • "Best Practices for Operation and Oversight of Pensions and Employee Benefit Plans," January 15, 2009, Annual Massachusetts Society of Certified Public Accountants Nonprofit Conference (Framingham, MA)
  • "ERISA Fiduciaries, 401(k) Fee Litigation, Rollover Matters and Other Litigation," January 16, 2009, 2009 Raymond James Institute of Finance Advanced Retirement Institute Retirement Plan Advisory Council (St. Petersburg, Florida)
  • "ERISA Litigation Matters and Evolving Best Practices," March 10, 2009, John Hancock Retirement Plan Services (Downers Grove, Illinois)
  • "ERISA Litigation Matters and Evolving Best Practices," John Hancock Retirement Plan Services, March 11, 2009 (Pittsburgh, Pennsylvania)
  • "ERISA Litigation Matters and Evolving Best Practices," John Hancock Retirement Plan Services, March 12, 2009 (King of Prussia, Pennsylvania)
  • "ERISA Fiduciaries and 401(k) Fee Litigation," The ASPPA 401(k) Summit, March 23, 2009 (San Diego, California)
  • "ERISA Litigation Matters and Evolving Best Practices," Newport Advisor Conference, March 26, 2009 (Orlando, Florida)
  • "Ramifications of the Current Economic and Market Turmoil on Asset Allocation: Is it Now Time for Managed Accounts?,"; "ERISA Litigation Matters and Evolving Best Practices",  "Participant Level Advice: Current Legal and Regulatory Environment,"fi360 National Conference, May 6-8, 2009 (Scottsdale, AZ)
  • "ERISA Litigation Matters and Evolving Best Practices," ING Advisor/401(k) Coach Bootcamp, May 18, 2009 (Foxboro, MA)
  • "Final Regulations Under Section 403(b) of the Internal Revenue Code," 403(b) Plan Seminar Presented by SageView Advisory Group, The Wagner Law Group and McGladrey & Pullen, LLP, May 19, 2009 (Burlington, MA)
  • "ERISA Litigation Matters and Evolving Best Practices," The 401(k) Coach Program Webcast, May 27, 2009
  • "ERISA Litigation Matters and Evolving Best Practices," 1st Global 2009 Qualified Retirement Plan Summit, July 24, 2009, (Dallas, TX)
  • "ERISA Litigation Matters and Evolving Best Practices," The 401(k) Coach Master Program, August 17, 2009 (Tabernash, Colorado)
  • "Keeping Up With the DOL 401(k) Fee Disclosure, Litigation, Evolving Best Practices," Planadviser National Conference, September 25, 2009 (Orlando, Florida)
  • "ERISA Litigation Matters and Evolving Best Practices," IMCA 2009 Fall Professional Development Conference, October 2, 2009 (Atlanta, Georgia)
  • "Standard Terminations: Process and Timelines;" "ERISA Litigation Matters and Evolving Best Practices," CFDD Advisor Conference, October 5, 2009 (Scottsdale, Arizona)
  • "ERISA Litigation Matters and Evolving Best Practices," John Hancock Retirement Services Event at the New York Stock Exchange, October 20, 2009 (New York, New York)
  • "ERISA Litigation Matters and Evolving Best Practices," The 401(k) Coach Program Webcast, October 21, 2009
  • "ERISA Litigation Matters and Evolving Best Practices," LPL/Legg Mason Retirement Summit, October 29, 2009 (New York, New York)
  • "Podcast: A Primer on Fiduciary Liability Insurance and Bonding," November 23, 2009, The 401(k) Coach
  • "Retirement Plans: Legislative, Regulatory, Judicial Developments," Financial Telesis, Inc. Webinar, December 4, 2009
  • "ERISA Litigation Matters and Evolving Best Practices," on behalf of Oppenheimer Funds, LPL Financial Symposium, January 15, 2010 (San Diego, CA)
  • "Talking Points Podcast Regarding Caterpillar Litigation: Interview with Marcia Wagner," December 11, 2009, PlanSponsor.com
  • "ERISA Litigation Matters and Evolving Best Practices," Raymond James Financial, Inc. - 2010 Retirement Plan Advisory Council, January 21, 2010 (St. Petersburg, Florida)
  • "Taxation of Deferred Compensation: Overview of 409A, 457(b) and 457(f)," Massachusetts Continuing Legal Education, Inc. Seminar: Executive Compensation Law, February 3, 2010 (Boston, MA)
  • "Avoiding Conflicts of Interest as You Grow Your Business," ASPPA Benefits Council of New England, April 6, 2010 (Boston, MA)
  • "Benchmarking Services: A Potential Solution to Every 401(k) Plan Fiduciary's Problem," Eaton Vance, April 9, 2010 (Boston, MA)
  • "New 5500 Form Requirements What Every Plan Sponsor Needs to Know," April 9, 2010, Cafaro Greenleaf Webinar (Boston, Massachusetts)
  • "Helping Retirement Plan Participants Reach Their Goals," New England Employee Benefits Council, April 16, 2010 (Boston, MA)
  • "Best Practices Evolving from ERISA Litigation," Oppenheimer Funds, Inc. Retirement Plan Strategic Partner Conference, April 26, 2010 (New York, NY)
  • "What's Up in Washington, Effects on You and Your Clients," John Hancock Scaling New Heights Meeting, April 29, 2010 (Chicago, Illinois)
  • "What's Up in Washington, Effects on You and Your Clients," John Hancock Educational and Networking Mixer Events, May 5, 2010 (Portland, OR)
  • "What's Up in Washington, Effects on You and Your Clients," John Hancock Educational and Networking Mixer Events, May 6, 2010 (Seattle, WA)
  • "Advisory Committee on Tax Exempt and Government Entities (ATC)- Analysis and Recommendations of the Employee Benefits Subcommittee Regarding the IRS's Determination Letter Program," Employee Plans Rulings and Agreements Continuing Professional Education Conference, May 18, 2010 (Indianapolis, IN)
  • "What's Up in Washington, Effects on You and Your Clients," John Hancock Sales Acceleration Meeting, May 19, 2010 (Boston, MA)
  • "Benchmarking Services: A Potential Solution to Every 401(k) Plan Fiduciary's Problem," Eaton Vance Investment Managers, Tax Management Compensation Planning Advisory Board Meeting, May 20, 2010 (New York, NY)
  • "Analysis and Recommendations Regarding the IRS's Determination Letter Program," IRS Advisory Committee on Tax Exempt and Government Entities, June 9, 2010 (IRS National Office, Washington, DC)
  • "Presentation Regarding Report of Employee Benefits Subcommittee of Advisory Committee on Tax Exempt and Government Entities," 23rd Annual Cincinnati Employee Benefits Conference, June 11, 2010 (Cincinnati, OH)
  • "What's Up in Washington, Effects on You and Your Clients," Women In Pensions Network, June 17, 2010, (Boston, MA)
  • "Advisory Committee on Tax Exempt and Government Entities (ACT)," IRS/ASPPA Northeast Area Benefits Conference, July 12, 2010 (Boston, MA)
  • "Advisory Committee on Tax Exempt and Government Entities (ACT)," IRS/ASPPA Northeast Area Benefits Conference, July 13, 2010 (New York, NY)
  • "What is New in DC: The Most Critical Items to the Obama Administration," 401(k) Coach Program Year 1 Session 3 Webinar, July 14, 2010 (Chicago, IL)
  • "Health Care Reform Overview," HighRoads, Inc., July 21, 2010 (New York, NY)
  • "Interim Final 408(b)(2) Regulations," Putnam Investments Webinar on DOL Interim Final Regulations, July 28, 2010
  • "What is New in DC: The Most Critical Items to the Obama Administration," Putnam Investments for National Retirement Partners, July 29, 2010 (Boston, MA)
  • "Keeping Up With DC," Planadviser Fourth Annual National Conference, September 21, 2010 (Orlando, FL)
  • "What You Need to Know About Health Care Reform Compliance," National Health Care Reform Conference, September 22, 2010 (Los Angeles, CA)
  • "Pension Plans: Everything You Need to Know, But Were Afraid to Ask," The AAO-HNSF 2010 Annual Meeting and Otolaryngologists Expo, September 27, 2010 (Boston, MA)
  • "March Toward Socialism: What It Means for the Pension Industry," (opens new window) CFDD 2010 Advisory Conference, October 6 & 7, 2010 (Chicago, IL)
  • "Protection of Plan Fiduciaries Through Insurance," (opens new window) CFDD 2010 Advisor Conference, October 6 & 7, 2010 (Chicago, IL)
  • "ERISA Litigation and Trends Update," (opens new window) CFDD 2010 Advisor Conference, October 6 & 7, 2010 (Chicago, IL)
  • "401(k) Industry Update," iShares 401(k) Experience, October 8, 2010 (San Francisco, CA)
  • "What is New in DC: The Most Critical Items to the Obama Administration," John Hancock Retirement Services Mixer Meeting, October 12, 2010 (Houston, TX)
  • "401(k) Industry Update," iShares 401(k) Experience, October 14, 2010 (San Francisco, CA)
  • "What To Do To Protect Yourself As An Advisor or Plan Sponsor," iShares 401(k) Experience, October 14 & 15, 2010 (San Francisco, CA)
  • "Pension Plans: Everything You Need To Know, But Were Afraid To Ask," Greater Boston Chapter of International CEBS Society ~ Fundamentals of Retirement Plans, October 21, 2010 (Norwood, MA)
  • "What is New in DC: The Most Critical Items to the Obama Administration," NRP 2010 Annual Conference, November 6, 2010 (Palm Springs, CA)
  • "What is New in DC: The Most Critical Items to the Obama Administration," 1st Global Conference, November 15, 2010 (San Antonio, TX)
  • "What is New in DC: The Most Critical Items to the Obama Administration," John Hancock Retirement Services' Ask the Expert Webinar, December 7, 2010
  • "Fee Transparency and Best Practices for Plan Sponsors," Legg Mason Webinar, December 14, 2010
  • "What You Need to Know About Healthcare Reform Compliance," 2011 Hospitality Law Conference, February 10, 2011 (Houston, Texas)
  • "ERISA for Employment Lawyers," MCLE Seminar, February 15, 2011 (Boston, MA)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Retirement Plan Services Networking Mixer, February 22 and 23, 2011 (Kansas City, Missouri and Omaha, Nebraska)
  • "Retirement - Laws as They Pertain to the Employer & Worker," (opens new window) SHRM Employment Law and Legislative Conference, March 14, 2011 (Washington, DC)
  • "ERISA Litigation and Trends Update," UBS Retirement Roundtable Meeting Eastern Division, March 15, 2011 (Naples, Florida)
  • "ERISA Litigation and Trends Update," UBS Retirement Roundtable Meeting Western Division, March 22, 2011 (Coronado, CA)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" 2011 Newport Advisor Conference, March 24, 2011 (Naples, FL)
  • "Overview of Fiduciary Responsibilities and Best Practices," Conference for UBS Institutional Consulting, presented by The Vierra Group, March 30, 2011 (Quincy, MA)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Bank of America Merrill Lynch's Inaugural Defined Contribution Designated Financial Advisor Event, April 5, 2011 (Orlando, FL)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" LPL Symposium, April 11, 2011 (Scottsdale, Arizona)
  • "Significant Department of Labor Regulatory Changes," Lockton Financial Advisors/Investment Advisors Conference, April 12, 2011 (Dallas, Texas)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Financial Network - 401(k) Masters Program, April 13, 2011 (Boston, MA)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Wilmington Trust Partners for Success Conference, April 14, 2011 (Scottsdale, Arizona)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock 2011 Retirement Plan Networking Mixer, April 27, 2011 (Indianapolis, Indiana)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock 2011 Retirement Plan Networking Mixer, April 28, 2011 (Cleveland, Ohio)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Allianz Retirement Summit, May 3, 2011 (Dallas, Texas)
  • "Fiduciary Liability Insurance, Bonding, Service Agreements and Warranties," 2011 fi360 Conference, May 5, 2011 (San Antonio, Texas)
  • "DC Plan Participants Attitudes and Behavior," Panel Discussion for BlackRock, Inc., May 18, 2011 (New York, New York)
  • "Guidance on Deferred Compensation: IRS 409A and IRC 457," 2011 FICPA Employee Benefit Plans Conference, May 26, 2011 (Orlando, Florida)
  • "Overview of ERISA Fiduciary Responsibility and Liability and Best Practices," Seminar for TD AmeriTrade Trust Company sponsored by iShares, June 1, 2011 (Philadelphia, Pennsylvania)
  • "Best Practices: Compliance and Retirement Issues," 2011 NSCP East Coast Regional Meeting, June 6, 2011 (New York, New York)
  • "Washington Update: What Do You Need To Know?" Washington Legal Update for MassMutual sponsored by Eaton Vance, June 7 and 8, 2011 (Stamford, Connecticut; New York, New York; Wayne, Pennsylvania; West Orange, New Jersey)
  • "Overview of ERISA Fiduciary Responsibility and Liability and Best Practices," Seminar for TD AmeriTrade Trust Company sponsored by iShares, June 9, 2011 (San Francisco, California)
  • "Evolving Best Practices for 403(b) Plan Fiduciaries," Fiduciary Investment Advisors - 2011 Client Conference, June 15, 2011 (Westbrook, Connecticut)
  • "Important Pension Changes: What Do You Need To Know?" Janney Montgomery Scott, LLP: Advanced 401(k) Seminar, June 16, 2011 (Baltimore, Maryland)
  • "Important Pension Changes: What Do You Need To Know?" Commonwealth Financial Network Symposium, June 21, 2011 (Boston, MA)
  • "Plotting the Points and Staying the Course: Analyzing Emerging Financial Regulations and Anticipating its Impact on Investment Strategy," U.S. Pensions Summit 2011, July 20, 2011 (Chicago, Illinois)
  • "Overview of ERISA Fiduciary Responsibility and Liability and Best Practices," Retirement Alliance2011 Advisor Summit, July 27, 2011 (Meredith, New Hampshire)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Clark Capital Management Group, Inc. Navigator 401(k) Symposium, August 4, 2011 (Philadelphia, Pennsylvania)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Mixer Meeting, August 11, 2011 (Beachwood, Ohio)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" 2011 Matrix Get Connected Conference, August 21, 2011 (Keystone, Colorado)
  • "How Women and Diversity Add Value to Your Practice," Broadridge Women's Leadership Forum 2011 Matrix Get Connected Conference, August 22, 2011 (Keystone, Colorado)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock 2011 Retirement Plan Networking Mixer, September 22, 2011 (West Conshohocken, Pennsylvania and King of Prussia, Pennsylvania)
  • "Guidance on Deferred Compensation: IRC 409A and IRC 457," Toscano & Ardito CPA, October 11, 2011 (North Andover, Massachusetts)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Mixer Meetings, October 12 and October 13, 2011 (San Mateo, California and Walnut Creek, California)
  • "Basics of ERISA," 2011 NSCP National Meeting, October 17, 2011 (Baltimore, Maryland)
  • "Techniques to Help Advisors Consult to the Fastest Growing DC Plan Market," CFDD 2011 Advisor Conference, October 18, 2011 (Chicago, Illinois)
  • "Prospecting the 403(b) Market for Companion DB Plan Business," CFDD 2011 Advisor Conference, October 18, 2011 (Chicago, Illinois)
  • "Plan Fees and Fiduciary Responsibilities - Preparing for the New Rules," 1st Global National Conference 2011, November 14, 2011 (Salt Lake City, Utah)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Mixer Meeting 2011, November 15, 2011 (Memphis, Tennessee)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Broadridge 2011 Annual Regional Meeting Series, November 30, 2011 (Boston, Massachusetts)
  • "New Opportunities in the DCIO Market," Financial Research Associates, LLC 5th Annual New Opportunities in the DCIO Market, January 23, 2012 (Boston, Massachusetts)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" TD AmeriTrade Institutional 2012 National Conference, February 3, 2012 (Orlando, Florida)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Mixer Meeting, February 8, 2012 (Pittsburgh, Pennsylvania)
  • "The Politics of Retirement - A Washington Update," MassMutual Presentation sponsored by Eaton Vance, March 28, 2012 (New York, New York; Short Hills, New Jersey; Wayne, Pennsylvania)
  • "Integrating ERISA Into Your Compliance Systems," 2012 NSCP Regional Meeting, April 2, 2012 (Boston, Massachusetts)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock 2012 Spring Masters Meeting, April 25, 2012 (Chicago, Illinois)
  • "Moving Beyond 401(k): Developing a Defined Benefit Advisory Practice," 2012 fi360 Conference, April 26, 2012 (Chicago, Illinois)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" ProEquities National Business Builder's Conference, May 2, 2012 (Hollywood, Florida)
  • "Integrating ERISA into Your Compliance Systems," 2012 NSCP Regional Meeting, May 7, 2012 (New York, New York)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" BlackRock DC Leaders Circle Conference, May 8, 2012 (San Francisco, California)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" BlackRock DC Leaders Circle Conference, May 15, 2012 (New York, New York)
  • "The Politics of Retirement - A Washington Update," 2012 Chicago Fiduciary Summit sponsored by Eaton Vance, May 16, 2012 (Rosemont, IL)
  • "Pension Plans: Everything You Need To Know, But Were Afraid To Ask," CEBS Boston Chapter, Retirement Plan Fundamentals session (presentation for Cammack & LaRhette), May 23, 2012 (Norwood, MA)
  • "Important Pension Changes from D.C. - What Do You Need To Know?", Janney Montgomery Scott, LLP: Advanced 401(k) Seminar, June 7, 2012 (Baltimore, MD)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Annual Planning Meeting of The Retirement Advisor Council, May 24, 2012 (Hartford, CT)
  • "The Politics of Retirement - A Washington Update," UBS Defined Contribution Advisor Forum (sponsored by Eaton Vance), Friday, June 15, 2012 (Boston, MA)
  • "The Politics of Retirement - A Washington Update," Seminar sponsored by Eaton Vance, Tuesday, June 19, 2012 (Boston, MA)
  • "Guidance on Deferred Compensation: IRC 409A and IRC 457," Massachusetts Continuing Legal Education (MCLE) Seminar ~ Executive Compensation Law, Tuesday, June 19, 2012 (Boston, MA)
  • "Fee Disclosure," Webinar for Employers Association of the NorthEast, July 13, 2012
  • "Important Pension Changes from D.C. - What Do You Need To Know?", John Hancock Mixer Meetings, Tuesday, July 17, 2012 (Columbus, OH and Dayton, OH)
  • "Analyzing Emerging Fiduciary Law and Anticipating Its Impact on Investment Strategy," 2012 U.S. Pensions Summit, July 24, 2012 (Chicago, IL)
  • "The Politics of Retirement - A Washington Update," 2012 Retirement Alliance Advisor Summit (Meredith, NH), July 25, 2012
  • "The Politics of Retirement - A Washington Update,"  2012 Raymond James Advanced Retirement Plan Symposium (Boston, MA), August 16, 2012
  • "The Politics of Retirement - A Washington Update," Presentations for Eaton Vance (Atlanta, Georgia), August 28 & 29, 2012
  • "The Politics of Retirement - A Washington Update," 2012 PLANADVISER National Conference (Orlando, FL), September 10, 2012
  • "Important Pension Changes from DC - What Do You Need To Know?" EANE Compensation & Benefits Conference (Sturbridge, MA), September 12, 2012
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Marcia Wagner, National Pension Consultants Study Group (Charlestown, MA) September 28, 2012
  • "The Politics of Retirement - A Washington Update," Presentations for Eaton Vance (Denver, CO) October 3, 2012, (San Jose, CA) October 4, 2012, (San Francisco, CA) October 4, 2012
  • BlackRock DC Masters Circle (Round Table Discussion with Q&A), (New York, NY) October 10, 2012
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Mixer Meetings, (Denver, CO) October 11, 2012
  • "The Politics of Retirement - A Washington Update" - CFDD 2012 Advisor Conference, (Chicago, IL) October 24, 2012
  • "The Politics of Retirement - A Washington Update," Presentation for Eaton Vance, (Westlake, Texas) November 6, 2012
  • "Retirement Plans - Current Developments & Common Myths", New England ASPPA Conference, (Nashua, New Hampshire) November 15, 2012
  • The Politics of Retirement - A Washington Update", Presentation at Financial Research Associates 6th Annual Profit-Driven Strategies in the DCIO Market (Boston, MA), January 28, 2013
  • "A Perspective on 401(k) Issues and Pitfalls for 2013," Webinar for One Capital Management (Boston, MA), January 30, 2013
  • "The Politics of Retirement - A Washington Update," Webinar for Eaton Vance, (Boston, MA), January 31, 2013
  • "The Politics of Retirement - A Washington Update," Presentation at UBS Fiduciary Forum (Atlanta, Georgia), February 1, 2013
  • "Important Pension Changes from D.C. - What Do You Need To Know?" Presentation at UBS Fiduciary Forum (Atlanta, Georgia), February 1, 2013
  • "Practitioner Viewpoint: Turning the Tables - Practitioner Issues for DOL Consideration", Joint Meeting of the IRS TE/GE Councils (Baltimore, Maryland), February 7, 2013
  • "Getting Ready for Fee Disclosures, DOL Audits and Other ERISA Issues", Workplace Benefits Renaissance Conference (Atlantic City, New Jersey), February 12, 2013
  • "Default Investments - Target Date Funds," Marcia Wagner, Financial Research Associates, LLC 7th Annual Target-Date Funds Forum (Boston, MA), February 26, 2013
  • "Legal Eagles - Legal Roundtable," Marcia Wagner
  • "How Can You Accept Rollover Business From A 401(k) Plan"
  • NAPA/ASPPA 401(k) Summit (Las Vegas, Nevada), March 4, 2013 (two presentations)
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Financial Network (Chicago, Illinois) March 20-21, 2013
  • "Best Practices for Producing and Managing Rollover Business - The Fiduciary Advisor's Rollover Toolkit," Webinar, March 27, 2013
  • "What do Corporate Counsel Need to Know about ERISA/Employee Benefits Matters?" Harvard Law School Association of Massachusetts and In-House Counsel Network, Harvard Law School (Cambridge, MA) April 5, 2013
  • "Transferring the Margins on Retirement Plan Investments", Webinar for BPAS, April 9, 2013
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Financial Network (sponsored by Legg Mason) (Indianapolis, Indiana and Cincinnati, Ohio) April 18, 2013
  • "Lifetime Income - Prudent Production Selection and Monitoring for Strong Outcomes," TIAA-CREF Client Forum 2013 (Marco Island, FL) April 24, 2013
  • "Target Date Funds and Plan Sponsor Responsibilities," Seminar for New England Employee Benefits Council (Waltham, MA) April 26, 2013
  • "The Politics of Retirement - A Washington Update," Presentation at Precept Advisory Group, LLC (sponsored by Eaton Vance) - (Santa Clara, California), May 8, 2013
  • Black Rock DC Leaders Circle (San Francisco, California), May 9, 2013
  • "Target Date Funds and Plan Sponsor Responsibilities," Webinar for ByAllAccounts, May 16, 2013
  • Black Rock DC Leaders Circle (New York, New York), May 20, 2013
  • "Complying with PPACA," Webinar for SourceMedia, May 22, 2013
  • "Important Pension Changes from D.C. - What Do You Need To Know?" John Hancock Financial Network (sponsored by Legg Mason)(Two presentations - Troy & Bloomfield Hills, Michigan) May 28, 2013
  • "Important Pension Changes from D.C. - What Do You Need To Know?" The Robertson Group (Columbus, Ohio), and Roundtable with Marcia S. Wagner for Everhart Advisors (Dublin, Ohio) - (both events sponsored by Legg Mason) May 29, 2013
  • "Promoting and Evaluating The Success of Your Plan" Webinar for Legg Mason, May 30, 2013
  • "A Plan Sponsor's Fiduciary Calling: Improving the Retirement Readiness of Plan Participants," Webinar for LPL Financial (sponsored by Mutual of Omaha) June 4, 2013
  • "Re-enrollment: Myth vs. Reality," Webinar for BlackRock & PlanSponsor, June 13, 2013
  • "The Changing DC Landscape: How Regulation Is Changing The Face Of The DC Plan," Inside Indexing Second Annual Conference (Boston, MA) June 17, 2013
  • The New England Broker Dealer/ Investment Adviser Association, Inc. (NEBDIAA), June 20, 2013
  • "ERISA Law Update," Presentation for the Retirement Alliance, Inc. 2013 Advisor Summit (Meredith, New Hampshire) July 22, 2013
  • "The Politics of Retirement - A Washington Update," Sii Investments National Sales Conference (Las Vegas, Nevada), August 16, 2013
  • "Tax And Benefit Reform Proposals," PlanAdviser National Conference 2013 (Orlando, Florida) September 9, 2013
  • "Final Regulations Under Section 403(b) of the Internal Revenue Code," Marcia Wagner, December 14, 2007, National Webcast Seminar
  • "ERISA Litigation Matters and Evolving Best Practices," Marcia Wagner, May 27, 2009, The 401(k) Coach Program Webcast
  • "ERISA Litigation Matters and Evolving Best Practices," Marcia Wagner, October 21, 2009, The 401(k) Coach Program Webcast
  • "Podcast: A Primer on Fiduciary Liability Insurance and Bonding,” Marcia Wagner, November 23, 2009, The 401(k) Coach
  • "Benchmarking Services: A Potential Solution to Every 401(k) Plan Fiduciary's Problem," The National Retirement Partners (NRP) 401(k) Plan Benchmarking Webinar, April 29, 2010
  • "The Top 5 'Hot Fiduciary Topics' Every Financial Advisor Needs to Know," Marcia Wagner, June 22, 2010, Plan Sponsor Magazine, iShares.com
  • "ERISA Litigation Update," Marcia Wagner, August 13, 2010, BigMediaUSA.com
  • "What You Need to Know About Health Care Reform Compliance," HighRoads, Inc., September 16, 2010
  • "A Fiduciary Guide for Target Date Funds," Legg Mason, Webinar, September 28, 2010
  • "What is New in DC: The Most Critical Items to the Obama Administration," ByAllAccounts, Webinar, October 19, 2010
  • "Congressional and Regulatory Changes to Target Date Funds," BNA Webinar on Target Date Funds, October 27, 2010
  • "Important Pension Changes from D.C.," PIMCO Corporate Executive Board's Retirement Services Webinar, January 31, 2011
  • "Washington Update: The Changing Face of 401(k) Plan Regulation," Legg Mason Webinar, April 26, 2011
  • "Guidance on Deferred Compensation: IRC 4091A and IRC 457," The 401(k) Coach Program Year One - Session 3, June 22, 2011
  • "Washington Update: The Changing Face of 401(k) Plan Regulation," Women in Pensions Network Webinar, June 23, 2011
  • "BlackRock 2011 Defined Contribution Survey Results Shifting Focus: From Retirement Savings to Retirement Income," BlackRock, Inc. Webinar, June 28, 2011
  • "Navigating the New Realities of 401(k) Participant Education," Legg Mason Webinar, October 20, 2011
  • "Tackling the DOL's New Rules in 2012 - What You Need to Know to Stay Ahead," BlackRock and Plan Adviser Webinar, December 1, 2011
  • "Fee Disclosure: What You Need to Know for Smooth Sailing," ERP Actuaries & Consultants Webinar, March 21, 2012
  • "408(b)(2) Disclosures - What Do You Need To Know?", Webinar for Williams Financial Advisor Group, Sponsored by Vantage Benefits Administrators, May 30 & 31, 2012
  • "The Fiduciary Adviser's Rollover Toolkit", Webinar for 401(k) Coach, October 9, 2012
  • "The Evolving ERISA Fiduciary Standard - What Do You Need To Know?" Webinar for ByAllAccounts, February 28, 2013
  • "Promoting and Evaluating The Success of Your Plan" Marcia Wagner, Webinar for Legg Mason, May 30, 2013
  • "The Different Roles and Responsibilities of 3(16), 3(21) and 3(38) Fiduciaries," Webinar for Transamerica Speakers Bureau, June 18, 2013
  • "Complying With PPACA," Webinar, June 25, 2013
  • "What Trustees In Bankruptcy Need To Know About Pension Plans," Webinar for PenChecks 2013 Expert Series, September 18, 2013
  • "Are Your 401(k) Plan Assets Safe?," Thornburg Investments, March 2009
  • "Fiduciary Guidebook for Target Date Funds," Legg Mason, August 2010
  • "Fee Transparency and Best Practices for Plan Sponsors," Legg Mason, October 2010
  • "Are Investment Providers Finally Stepping Up to The Plate as Plan Fiduciaries?" Thornburg Investments, September 2011
  • "Washington Update: The Changing Face of 401(k) Plan Regulations," Legg Mason, June 2012
  • "Navigating the New Realities of 401(k) Participant Education," Legg Mason, June 2012
  • "The Savings Crisis of Working Americans: The Retirement Industry Call to Action," Legg Mason Retirement Advisory Council, January 2012
  • "Putting 408(b)(2) Disclosure Rules Into Practice: A Guide for Plan Sponsors," Legg Mason, June 2012
  • "Fee Disclosures Under ERISA Section 408(b)(2); A Business and Compliance Strategy for Advisors," Eaton Vance, June 2012
  • "404a-5 Disclosures to Participants: Best Practices for Plan Sponsors," Legg Mason, August 2012
  • "Through the ERISA Lens: Principles of DC Fund Selection," Legg Mason, December 2012
  • "A Plan Sponsor's Fiduciary Calling to Improve the Retirement Readiness of Plan Participants," LPL Financial, February 2013
  • "Fiduciary Guidebook for Target Date Funds," Legg Mason, February 2013
  • "Separating Fact from Fiction: The Potential Risks and Rewards of Hiring 3(16) Fiduciaries," Sentinel Benefits & Financial Group, April 29, 2013
  • "Overcoming Fiduciary Fears: Understanding the Real Risks of Liability for Small Plan Sponsors," John Hancock Retirement Plan Services, June 2013
  • "Tactical Asset Allocation & ERISA Plans: Best Practices for Finding the Right Strategy for Plan Participants," The Center for Due Diligence, August 2013
  • "TCW Gets Permission From Labor Department to Give 401(k) Advice," Bloomberg, L.P., October 1997
  • "TCW Wins Approval to Advise 401(k) Clients," The New York Times,
  • "Keogh Panic," Forbes, August 10, 1998
  • "Counsel Fees in ERISA Case Denied by Judge," Massachusetts Lawyers Weekly, October 25, 1999
  • "Law Firms, Other Businesses Must Revise Retirement Plans," Lawyers , May 2001
  • "Attorneys Can Put More Money Tax-Free Into Retirement Plans," Lawyers , July 2001
  • "Advice and Dissent," Institutional Investor, March 2002
  • "Attorney Claims Combs Changed Mind on Fiduciary Restrictions," Pensions and Investments, September 1, 2003
  • "Institutions Ready to Pull the Plug if Claims are True," Pensions and Investments, September 15, 2003
  • "The Shame of Mutual Funds," Newsweek, September 29, 2003
  • "Morgan Execs Back Off Plan to Switch Out of Own Fund," Pensions and Investments, April 5, 2004
  • "Going the Distance for Health Savings," HR Magazine, March 2007
  • "Understanding Exposure Changing Roles, Lawsuits May Point to Increase in Liability for Advisers," InvestmentNews, November 12, 2007
  • "Providers Said to Weigh QDIA-Only Platform," Defined Contribution & Savings Plan Alert, November 12, 2007
  • "Practitioners to Tell IRS Proposed Rule is Adverse to Retirement Income of Disabled," Pension & Benefits Daily, December 5, 2007
  • "Proposal Undercuts Retirement Savings of the Disabled, Speakers Tell IRS Panel," Pension & Benefits Daily, December 7, 2007
  • "Speakers Oppose Proposed Changes to Treatment of Insurance in Deferred Compensation," Tax Analysts, December 7, 2007
  • "Fiduciary Principles Should Apply In Selecting and Monitoring Target Funds," Pension & Benefits Daily, March 17, 2008
  • "State Street Subprime Damages May Reach 12 Times Reserve Amount," Bloomberg.com, May 8, 2008
  • "Putnam Event Draws Golden DC Advisors, Thought Leaders," The401kWire.com, June 17, 2008
  • "Crucial Court Case May Spur 401(k) Lawsuits," InvestmentNews
  • "Seen and Heard: Rollovers and Reptiles Take Center Stage at CFDD," The401kWire.com, October 20, 2008
  • "Fiduciary Responsibility: DOL's Advice Rule Would Devastate 401(k) Plan Savings," Pension & Benefits Daily, March 12, 2009
  • "Target-Date Funds Could Fall Under ERISA," Pension & Investments, April 20, 2009
  • "Compliance Watch: Watch What You Say About Retirement," Dow Jones Newswires, April 21, 2009
  • "Practice Management: Bills Could Shake Up Retirement Industry," Dow Jones Newswires, June 16, 2009
  • "Labor Department Drops Bush Administration Proposed Retirement Advice Rule," Dow Jones Newswires, September 14, 2009
  • "Practice Management: Retirement Plan Rules Help Independents," Dow Jones Newswires, September 16, 2009
  • "No Changes Needed to ERISA," Fundaction.com, October 12, 2009
  • "Senate to Address Conflicts in Proprietary Target Funds," Investmentnews.com, October 27, 2009
  • "U.S. Labor Department Further Extends Effective Date of Rules on Investment Advice," U.S. Department of Labor News Release, November 23, 2009
  • "He Gets Riled About Risk," InvestmentNews, December 14, 2009
  • "ERISA Litigation Affects Plan Administration: An Interview With Marcia S. Wagner, Esq.," 401(k) Advisor, December 2009
  • "Industry Eyes Lawsuits Over Pension Investment," FT.com, January 12, 2010
  • "Best Practices Evolving from 401(k) Fee Litigation," Marcia Wagner and John Sohn, 401(k) Advisor, February 2010
  • "Practice Management: New Rules Likely to Shake Up IRA Advice," Kristen McNamara, Dow Jones News Service, March 3, 2010
  • "Rep or Fiduciary? Labor Department Says, 'Choose'," InvestmentNews, March 15, 2010
  • "Judge Boots Sec Lending Case Against State Street," Ignites, March 29, 2010
  • "Health Reform Changes for Employers Could Start 'Immediately," Insurance Financial Advisor, April 13, 2010
  • "Labor Dept. Inches Closer to Providing Target Date Guidance," Investment News, April 27, 2010
  • "Health Care Reform Will Impact Most Employers," International Accounts Payable Professionals, May 3, 2010
  • "Labor Department Takes First Step in Regulation of Target Date Funds," Investment News, May 7, 2010
  • "401(k) Providers Brace for New Fee Disclosure Regs," Investment News, May 19, 2010
  • "Expert: New FedEx Policy on Benefits for Same-sex Partners Passes Legal Tests," The Commercial Appeal, May 25, 2010
  • "Advisory Panel Recommends Retirement Plan Changes," Tax Notes, June 14, 2010
  • "Government Soon to Require Clearer 401(k) Fees," Associated Press, June 15, 2010
  • "Target Date Fund Disclosure Plan Falls Short of the Mark, Say Critics," Investment News, June 17, 2010
  • "States Struggle to Meet Demand of Public Pensions," The Fiscal Times, June 22, 2010
  • "Target Fund Rules May Mean 401(k) Changes," Investment News, June 27, 2010
  • "Avoid Big 401(k) Changes as Stocks Swing," The Street, June 28, 2010
  • "IRS Advisory Committee Recommends Changes To Determination Letter Process," CCH Pension, July 9, 2010
  • "Class Notes 1987," Harvard Law Bulletin, Summer 2010
  • "Retirement Plan Providers to Disclose Compensation," Chicago Breaking News - Tribune, July 14, 2010
  • "New Rule Could Reduce 401(k) Fees," CBS MoneyWatch.com, July 19, 2010
  • "Overall Response to Fee Rule Positive, Unbundling Requirement Biggest Challenge," BNA Pension and Benefits Reporter, July 21, 2010
  • "Employee Suits Alleging Excessive 401(k) Fees Gain Ground," Los Angeles Times, July 28, 2010
  • "Lawsuits Over 401(k) Fees Driving Costs Down," Associated Press, July 20, 2010
  • "The 401(k) Fees You Might Not Know You're Paying," Associated Press, July 20,2010
  • "Legislation Could Limit Use of Swaps," Employee Benefit News, August 1, 2010
  • "Exercising Fiduciary Authority and Control Over the Investment Menu in ERISA 403(b) Plans," Plansponsor.com, August 3, 2010
  • "SEC's Target Date Proposal Met With Raging Indifference," Investment News, August 20, 2010
  • "Target Date Turnover Troubles Big Firms," Investment News, August 29, 2010
  • "Worker Contributions to U.S. Health Premiums Jump 14%, Kaiser Survey Says," Bloomberg.com, September 2, 2010
  • "'I'll Work Till I Die': Older Workers Say No to Retirement," CNNMoney.com, September 28, 2010
  • "PANC 2010: Keeping up with D.C.," Planadviser.com, October 4, 2010
  • "Automatic IRA 'Death Knell of Private-Pension System," Investment News, October 8, 2010
  • "Plan Sponsor's Duty to Avoid Conflicts of Interest," The Teachers Advocate, November 10, 2010
  • "Financial Advisers Fear Possible Rollover Rules," Investment News, November 16, 2010
  • "DOL Floats Disclosure Rule For 401(k) Target Date Funds," Investment News, November 29, 2010
  • "Labor Department Proposes Target Date 401(k) Rules," Yahoo! Finance, November 29, 2010
  • "Labor Department Proposes More Target Date Disclosure," Chicago Breaking Business, November 29, 2010
  • "Labor Department Proposes Target Date 401(k) Rules," ABC News, November 29, 2010
  • "Labor Department Proposes Target Date 401(k) Rules," CNBC, November 29, 2010
  • "Legg Mason Entertains Advisors, Distributors and Reporters," MutualFundWire.com, December 3, 2010
  • "Industry Execs Laud Latest Target-Date Proposal," Pensions & Investments, December 8, 2010
  • "The Economy in 2010: Stories You May Have Missed," PBS NewsHour, December 30, 2010
  • "Execs Keeping an Eye on Major Court Cases," Pension & Investments, January 24, 2011
  • "The Mixed Riches of Retirement Plans," Reuters Wealth Management Reporter, February 2, 2011
  • "DOL Pension Proposal Could Rock Fund Firms," Investment News, February 3, 2011
  • "Dire Results Seen for 'Fiduciary' Tweak," Investment News, February 6, 2011
  • "Hotel Health Care Compliance, One Step at a Time," Hotelnewsnow.com, February 11, 2011
  • "Retirement Advice: What You Get for Free," SmartMoney.com, February 16, 2011
  • "State Street Securities - Lending Revenue Drops, Lawsuits Percolate," Ignites.com, March 1, 2011
  • "Wish You Had a Pension?" Forbes.com, March 8, 2011
  • "New Jersey Asks IRS for a Look at Pension Funds," The Gloucester County Times, March 20, 2011
  • "Nuns Take O'Malley to Court Over Pension," The Boston Globe, March 21, 2011
  • "Higher Taxes Loom for 401(k) Savers," The Wall Street Journal, March 28, 2011
  • "States Increasingly Turn to 401Ks to Replace Pensions," FoxNews.com, April 5, 2011
  • "The State of Pensions," CNBC.com, May 5, 2011
  • "3 Myths About 401(k) Plans; Fidelity Reports All-Time High," Fox Business News, May 12, 2011
  • "Ask an Expert - ERISA,"LPL Financial Retirement Partners, May 2011
  • "How Do I Pay Thee? Let Me Count The Ways," Portico Wealth Advisors, May 17, 2011
  • "More Workers Borrowing Against Their Future, Threatening Retirement Security With 401(k) Loans," The Republic, June 7, 2011
  • "Phyllis Borzi: Protecting the Everyman's Benefits," Investment News, June 12, 2011
  • "A TPA Launches a Pair of 403(b) MEPs," The 401(k) Wire, August 2, 2011
  • "Two New MEPs Combine Cash Balance and 401(k)," The 401(k) Wire, August 4, 2011
  • "Great-West, Lincoln Trust Jump on Plan and Participant Fee Disclosures," Investment News, August 15, 2011
  • "Government: 401(k) Fee Disclosures May Be Electronic," The Associated Press, September 13, 2011
  • "Labor Department Issues Rule on 401(k) Advice," Bloomberg, October 24, 2011
  • "Deja Vu: The Advice Regs Are Here, Now What?" The 401(k) Wire, October 25, 2011
  • "Workers Come Out Winners Even After 401(k) Lawsuits Are Losers," The Wall Street Journal, October 25, 2011
  • "Probe of High-Profile 401(k) Fiduciary Advocate Could Cost Advisers Business," Investment News, November 14, 2011
  • "States Struggle to Meet Demand of Public Pensions," Texas Insider, December 21, 2011
  • "Retirement Plan Brokers Outsource Fiduciary Duties," Investment News, January 1, 2012
  • "Retirement Fund Fees Squeezed By Disclosure Rules," Bloomberg, January 5, 2012
  • "In an Apparent First, a Public Pension Plan Files for Bankruptcy," Investment News, April 19, 2012
  • "Hutchenson Case Highlights Risks for Advisers," Investment News, April 22, 2012
  • "The DoL Speaks and MEPsters Hope For More," The 401(k) Wire, May 31, 2012
  • "DC Industry Frets Over Brokerage Issue, Claims it's a Rule in Disguise," Pensions & Investments, June 11, 2012
  • "New Deadline Looms for Retirement Plan Fee Disclosure," Investment News, July 2, 2012
  • "The next opponent for Wall Street banks? Their own employees," Investment News, July 10, 2012
  • "Wall Street banks' next fight may be with their own employees," Investment News, July 15, 2012
  • "Labor Department Drops Brokerage Window Provisions," Pensions & Investments, July 30, 2012
  • "DOL Does Turnaround, Backs Off Controversial Brokerage Window Provisions," Investment News, July 30, 2012
  • "US Labor fines pension adviser $1.27 mln over fee disclosure," Reuters.com, Aug 31, 2012
  • "PANC 2012: The Politics of Retirement," Planadviser.com, September 10, 2012
  • "Legal Eagle Wagner Predicts an Auto-IRA Push if Obama Wins", The 401(k) Wire, October 24, 2012
  • "Does Pru's hiring of Davis signal regulatory changes for stable value?", Pensions & Investments, November 14, 2012
  • "Getting a second wind, DOL likely to breathe harder on ERISA advisers", Investment News, November 18, 2012
  • "Regulatory and Legal DC Issues for 2013," PLANSPONSOR.com, March 6, 2013
  • "DOL Smacks 401k Adviser for 12b-1 Fiduciary Breach. Plan Sponsors Next?" Fiduciary News (fiduciarynews.com), March 26, 2013
  • "Fiduciary Matters," Financial Advisor Magazine, May 2013
  • "Health Care Reform: Procrastinate No More," Entrepreneur.com, July 17, 2013
  • "Letter to 6,000 401(k) sponsors has advisers doing damage control," Investment News, July 18, 2013
  • "Hutcheson's Tumble Offers Lessons," Investment News, August 11, 2013
  • "12 TAA best practices to keep in mind," BenefitsPro.com, August 20, 2013
  • "1st Circuit: ERISA case subject to de novo review," Massachusetts Lawyers Weekly, September 2, 2013
  • "Papermaker Is Latest To Settle a 401(k) Suit," The Wall Street Journal, October 2, 2013
  • "Industry Thought-Leaders: 401k MEPs as Safe as Any Other 401k Plan," Fiduciary News (fiduciarynews.com), October 8, 2013
  • "Proposed Regulations on Tax Treatment of Payments for Medical or Accidental Insurance," Internal Revenue Service, December 4, 2007
  • "Proposed Investment Advice Exemption," Department of Labor, October 21, 2008
  • "Advisory Committee on Tax Exempt and Government Entities, Report of Recommendations, 2010," Analysis and Recommendations Regarding the IRS's Determination Letter Program, June 5, 2010
  • "New Direct Transfer and Tax Withholding Rules for Benefit Plan Distributions," MBA Section of Taxation Newsletter, October 1992; reprinted in Massachusetts Bar Association's Best of the Sections, 1992 - 1993
  • "Qualified Plans With Disqualifying Defects: The Changing Face of Enforcement," MBA Section of Taxation Newsletter, September 1993; reprinted in Massachusetts Bar Association's Best of the Sections, 1993 - 1994
  • "A General Introduction to Employee Benefit Plans," The Best of MCLE Journal, February 1994
  • "Crime and Punishment - The Theory, Evolution and Future of Alternatives to Plan Disqualification," Tax Management Compensation Planning Journal (Special ERISA 20th Anniversary Issue), December 1994
  • "The Department of Labor Delinquent Filer Voluntary Compliance Program," MBA Section of Taxation Newsletter, October 1995
  • "Alternatives to Plan Disqualification, Including Discussion of 403(b) Plans," New York University Fifty-Third Institute on Federal Taxation (Matthew Bender), October 1995
  • "Pension Simplification Highlights," MBA Section of Taxation Newsletter, November 1996
  • "Tax-Qualified Retirement and Annuity Plans May Self-Correct Operational Violations," MBA Section of Taxation Newsletter, February 1997
  • "The Provision of Investment Advice Under Prohibited Transaction Exemption 97-60," Tax Management Compensation Planning Journal, January 1998
  • "The Provision of Investment Advice Under Prohibited Transaction Exemption 97-60," American Bar Association, Taxation Section Employee Benefits Committee meeting materials, January 1998
  • "The Provision of Investment Advice Under Prohibited Transaction Exemption 97-60," American Bankers Association, September 1998
  • "The Provision of Investment Advice Under PTE 97-60," Trust & Investments, September/October 1998
  • "Eliminating Preretirement Distributions to Employees," Massachusetts Bar Association Section Review, December 1998
  • "Law Firm Tax-Qualified Pension Plans: A Case Study," Law Firm Partnership and Benefits Report, December 1998
  • "Changes to IRS Correction Programs," Massachusetts Bar Association Section Review, December 1998
  • "ERISA, Employee Benefits and Employment Update," Massachusetts Society of Certified Public Accountants On-Line, March 1999
  • "IRS Consolidates Employer Options for Correcting Pension Plan Defects," Law Firm Partnership and Benefits Report, June 1999
  • "Correcting Plan Defects," Massachusetts Bar Association Taxation Section Newsletter, October 1999
  • "Participant Self Direction of Account Balances: Investment Advice or Investment Education," Villanova Journal of Law and Investment Management, Vol. 1, Issue 1, Winter 1999
  • "Friend or Foe? The Pros and Cons of the New Department of Labor Voluntary Fiduciary Correction Program," BNA Tax Management Memorandum, June 2000
  • "Friend or Foe? The Pros and Cons of the New Department of Labor Voluntary Fiduciary Correction Program," University of Denver College of Law, Preventive Law Reporter, Summer 2000
  • "Department of Labor Establishes New Fiduciary Self-Correction Program," Law Firm Partnership & Benefits Report, January 2001
  • "Qualified State Tuition Programs: Differentiating Among the Two Types," Law Firm Partnership & Benefits Report, August 2001
  • "Understanding Split-Dollar Arrangement Rules," Law Firm Partnership & Benefits Report, May 2002
  • "HIPAA Health Data Privacy Rules: Final Regs. Issued," Law Firm Partnership & Benefits Report, February 2003
  • "Managed Accounts: Are They the Answer?," Tax Management Compensation Planning Journal, August 2003
  • "Paying Expenses from Plan Assets," 401(k) Advisor, October 2003
  • "Managed Accounts: Still the Best, Least Risky Solution Yet Developed," Tax Management Compensation Planning Journal, November 2003
  • "Same Sex Spouses in Massachusetts: The Affect on Employee Benefits," Law Firm Partnership and Benefits Report, February 2004
  • "The Mutual Fund Scandals: What's A Plan Sponsor To Do?" Law Firm Partnership and Benefits Report, October 2004
  • "An Update on USERRA as it Affects Plans," 401(k) Advisor, March 2005
  • "Fiduciary Issues Associated with Life Cycle Funds in Individual Account Plans," Tax Management Compensation Planning Journal, May 2005
  • "What Is the Uniformed Services Employment and Reemployment Rights Act of 1994?" Law Firm Partnership & Benefits Report, July 2005
  • "Employee Benefits Bankruptcy Issues That Law Firms Need to Know," Law Firm Partnership & Benefits Report, May 2006
  • "Medical Tourism and Group Health Plans," Journal of Compensation and Benefits, September/October 2006
  • "Medical Tourism: What are Your Options?" Employee Benefits News, October 2006
  • "ERISA Plan Corrections: An Attractive Alternative to Hefty Penalties," New England In-House, October 2006
  • "Is Medical Tourism the Right Option?" Boston Women's Business Journal, November 2006
  • "Final Regulations under Section 403(b) of the Internal Revenue Code", 2007
  • "Fiduciary Liability Insurance, Bonding, and Service Agreements for Sponsors", 2007
  • "Evaluation of Plan Advisors by Plan Sponsors", 2007
  • "Fiduciary Issues Associated with Default Investment Alternatives Under Participant-Directed Individual Account Plans," Compensation Planning Journal, January 2007
  • "Class Certification Requirements in 401(k) Fee Litigation," 401(k) Advisor, December 2011
  • "Learn to Uncover Hidden 401(k) Fees," Boston Women's Business Journal, February 2007
  • "Preserve ERISA Plans with Proactive, Voluntary Changes," Business Insurance, February 2007
  • "Will ERISA Preemption Derail Massachusetts Health Care Reform?" Compensation Planning Journal, June 2007
  • "MA Health Care Reform Law," Law Firm Partnership & Benefits Report, July 2007
  • "Will ERISA Preemption Derail Massachusetts Health Care Reform?" NYU Employee Benefits and Executive Compensation Review, August 2007
  • "Fiduciary Issues Associated with Default Investment Alternatives Under Participant Directed Individual Account Plans," NYU Employee Benefits and Executive Compensation Review, August 2007
  • 401k Fees - Litigation and Best Practices; Disclosure to Plan Participants", Marcia Wagner, September 2007
  • "Commentary on the Patent Reform Act of 2007 Issued Patents and Patent Applications," Tax Management Compensation Planning Journal, November, 2007
  • "Final Regulations Under Section 403(b) of the Internal Revenue Code", October 2008
  • "Where Fiduciary & Preemption Issues are Headed in 2008," ERISA Litigation Update for CFDD, February 21, 2008
  • "The Senate Tax Patent Bill, Even Worse that the House Provision," Tax Management Compensation Planning Journal, February, 2008
  • "Criminal Issues Regarding Title I Investment Breaches," Tax Management Compensation Planning Journal, March, 2008
  • "Proposed DOL Rules On 401(k) Fee Disclosures", Law Firm Partnership & Benefits Report, June, 2008
  • "A Meditation on the Definition of Plan Assets," The ASPPA Journal, Vol. 39, No. 1, Winter 2009
  • "Participant Level Advice: Current Legal and Regulatory Environment", fi360 National Conference, May 2009
  • "Partial Plan Terminations," Law Firm Partnership & Benefits Report, Vol. 15, No. 5, July 2009
  • "Is It Now Time for Managed Accounts?" New York University Review of Employee Benefits and Executive Compensation, 2009
  • "Broadening Your Business," (opens new window), Plan adviser, January - February 2010
  • "A Plan Sponsor's Fiduciary Duties Under ERISA: With Great Responsibility Comes Great Potential Liability,", 401(k) Advisor, February 2010
  • "Protecting Yourself," (opens new window), Plan adviser, March - April 2010
  • "DOL Proposes New Regulations for Investment Advice,", 401(k) Advisor, April 2010
  • "Practice Makes Perfect," (opens new window), Plan adviser, May - June 2010
  • "Investment Advice Regulations Update,", 401(k) Advisor, June 2010
  • "Tactical Asset Allocation Under ERISA,", 401(k) Advisor, June 2010
  • "Avoiding Conflicts of Interest As Your Business Grows,", 401(k) Advisor, July 2010
  • "An Overview of Health Care Reform With Recommended Action Steps to Take,", BNA Pension and Benefits Reporter, July 29, 2010
  • "Taxation of Deferred Compensation: Overview of 409A and 457,", Compensation & Benefits Review, July - August 2010
  • "ERISA Fiduciary Rules and Target Date Funds,", BNA Pension and Benefits Reporter, August 10, 2010
  • "Lifetime Income Options,", 401(k) Advisor, August 2010
  • "Partial Termination Plan Liability,", 401(k) Advisor, September 2010
  • "Plan Sponsor's Duty to Avoid Conflicts of Interest,", Journal of Pension Benefits, Autumn 2010
  • "ERISA Fiduciary Rules and Target-Date Funds,", Plan adviser, September - October 2010
  • "IRS Determination Letter Program for Tax-Qualified Retirement Plans,", 401(k) Advisor, October 2010
  • "FBAR Rules for Employee Benefit Plans,", Law Firm Partnership & Benefits Report, October 2010
  • "Selecting Benchmarking Services to Help Meet Fiduciary Requirements,", Compensation & Benefits Review, October 2010
  • "Court Ruling on Mutual Fund Fees to 401(k) Plans,", 401(k) Advisor, November 2010
  • "Exercising Fiduciary Authority and Control Over the Investment Menu in §403(b) Plans Subject to ERISA,", Tax Management Compensation Planning Journal, November 5, 2010
  • "Health Care Reform Overview,", National Healthcare Reform Magazine, December 6, 2010
  • "Re-Defining Moment. DoL Proposes Broadening the Definition of Fiduciary", Plan adviser, November - December 2010
  • "Voluntary Correction Program for Nonqualified Deferred Compensation Document Failures,", 401(k) Advisor, December 2010
  • "Constitutional Challenges to the Patient Protection and Affordable Care Act,", New York University Review of Employee Benefits and Executive Compensation, 2010
  • "Partial Plan Terminations of Qualified Plans,", The ASPPA Journal, Winter 2011
  • "ERISA Litigation Trends from 2010,", 401(k) Advisor, January 2011
  • "DOL Issues Final Regulations on Mandatory Fee-Disclosures,", Law Firm Partnership & Benefits Report, February 2011
  • "Tools Help Fiduciaries Evaluate Plan Fees,", 401(k) Advisor, February 2011
  • "How the Changing Definition of Fiduciary Might Change Your Practice,", Plan adviser, January - February 2011
  • "Education Nation,", Plan adviser, March - April 2011
  • "'In Plan' Roth Conversions and New Electronic Deposit Rules for Payment of Retirement Plan Withholding Taxes,", 401(k) Advisor, May 2011
  • "Public Pension Plans and the Retirement Gap: Understanding the Crisis and Possible Solutions,", Pension & Benefits Daily, June 7, 2011
  • "New Puerto Rico Tax Code Requires Big Changes to Retirement Plans for Puerto Rico Employees,", 401(k) Advisor, June 2011
  • "Cause and Effect, The Influence of 401(k) Fee Litigation,", Plan adviser, July - August 2011
  • "Case Suggests That RFPs May Be Necessary to Fulfill Fiduciary Duties,", 401(k) Advisor, August 2011
  • "Review of DOL Amicus Filings,", 401(k) Advisor, August 2011
  • "Investing with Confidence,", Plan adviser, September - October 2011
  • "Asserting the Attorney-Client Privilege in ERISA Cases,", Law Firm Partnership & Benefits Report, October 2011
  • "Pyrrhic Victory for Plaintiffs in Tibble v. Edison,", 401(k) Advisor, October 2011
  • "Future Investment Advice Regulations,", 401(k) Advisor, November 2011
  • "Reform School - Consequences of Tax Reform Proposals Relating to 401(k) Plan Contributions,", Plan adviser, November - December 2011
  • "SEC Gives Participant-Level Disclosure a Pass," 401(k) Advisor, January 2012
  • "Untangling the Wires", Plan adviser, January - February 2012
  • "DOL Issues Final Regulations on ERISA 408(b)(2)", Market Watch, February 6, 2012
  • "Capitalizing on Fee Disclosure Rules", DC Edge Magazine, Quarter 1, 2012
  • "The Fiduciary Duty to Investigate Plan Investments", 401(k) Advisor, February 2012
  • "Tax Guidance on Lifetime Income Options", 401(k) Advisor, March 2012
  • "Encouraging Annuitization", Plan adviser, March - April 2012
  • "New Final Regulations Under ERISA Section 408(b)(2)", 401(k) Advisor, April 2012
  • "The Significance of the Kraft Settlement", 401(k) Advisor, May 2012
  • "Attention to Details: Government Debuts Lifetime Income Initiatives (Cont.)", Plan adviser, May - June 2012
  • "ABB Blockbuster", 401(k) Advisor, June 2012
  • "DOL Advisory Opinions Only a Speed Bump for Open MEPs?", 401(k) Advisor, July 2012
  • "Update on DOL Guidance Regarding Disclosure Rules", 401(k) Advisor, August 2012
  • "DOL Shifts Stance on Brokerage Windows but Questions Remain", 401(k) Advisor, September 2012
  • "Giveth and Taketh", Plan Adviser, September/October 2012
  • "My Experience Starting a Business in the Retirement Plan Industry", Women In Pension Network, Fall 2012
  • "Disclosure Obligations Could Be Broader Than DOL Regulations", Plan Consultant Magazine (an official publication of ASPPA), Fall 2012
  • "Bidwell Confirms that QDIA Safe Harbor Applies to Re-Enrollments", 401(k) Advisor, October 2012
  • "Explaining the USI Settlement", 401(k) Advisor, November 2012
  • "The Fiduciary Duty to Recover Securities Class Action Settlement Awards Under ERISA", Tax Management Compensation Planning Journal, December 7, 2012
  • "Implications of 408(b)(2) Regulations for Plan Sponsors", 401(k) Advisor, December 2012
  • "Giveth and Taketh, Part 2", Plan Adviser, November/December 2012
  • "Standing and Statute of Limitations Issues in New Proprietary Funds Case", 401(k) Advisor, January 2013
  • "Class Action Litigation Settlements and ERISA: What Does PTE 2003-39 Really Require?", Bloomberg BNA Tax Management Compensation Planning Journal, February 1, 2013
  • "More on Moench," Marcia Wagner, 401(k) Advisor, February 2013
  • "Fee Information Has Been Delivered - Now What? The aftermath of 408(b)(2)", Plan Adviser, January/February 2013
  • "Broader "Fiduciary" Definition: Legal Update," ByAllAccounts, February 28, 2013
  • "DOL Offers Tips on TDFs," 401(k) Advisor, April 2013
  • "In-Plan Roth Conversions Expanded Under Fiscal Cliff Tax Law," 401(k) Advisor, February 2013
  • "Fixing 403(b) Plans," Plan Adviser, March/April 2013
  • "Tibble v. Edison Affirmed, But Plaintiffs May Not Be Celebrating," 401(k) Advisor, May 2013
  • "How to Be a Functional Fiduciary without Doing Anything - The Seventh Circuit Rejects DOL Theory," 401(k) Advisor, June 2013
  • "Buyer Beware: Choosing A 3(16) Fiduciary," Plan Consultant Magazine (an official publication of ASPPA), Summer 2013
  • "Lifetime Income Illustrations Come of Age," 401(k) Advisor, July, 2013
  • "DOL Offers Tips on TDFs," Plan Adviser, July/August 2013
  • "ERISA Accounts Meet Plan Asset Rules in New DOL Guidance," 401(k) Advisor, September, 2013
  • "Pension Law," Bentley College, Fall 1999 and Fall 2000
  • "Federal Employment Rights," Guest Lecturer for ERISA Portion of Course, Massachusetts School of Law, Fall 2001
  • "Controlled Group, Affiliated Service Group, Leased Employee and Independent Contractor Issues," Continuing Professional Education for Internal Revenue Service Employee Plans Audit Agents, Northeast Division of Internal Revenue Service, 2005
  • Labor and Employment Law: Compliance and Litigation, Contributor for ERISA/employee benefits chapters, Clark, Boardman, Callaghan, 1997
  • BNA Tax Management Portfolio: "Plan Disqualification and ERISA Litigation", 1993; update 1999
  • Quick Reference to HIPAA Compliance, Aspen Publishers, 2004
  • BNA Tax Management Portfolio: "EPCRS - Plan Correction and Disqualification," 2004 and 2009 Editions
  • BNA Tax Management Portfolio: "ERISA Litigation, Procedure, Preemption and Other Title I Issues", 2005
  • Advising Small Businesses: "Qualified Retirement Plans," West Services, Inc., 2007, 2008 and 2009 Editions, Chapter 39: Qualified Retirement Plans
  • Bender's Federal Income Taxation of Retirement Plans, (Chapter 1: Introduction to Retirement Legislation and Guide to Application: From ERISA to Pension Protection Act) and (Chapter 11: Controlled Groups and Affiliated Service Groups), 2008 Edition
  • Quick Reference to HIPAA Compliance, Aspen Publishers, 2004-2010 Editions
  • Quick Reference to HIPAA Compliance, Aspen Publishers, 2010-2011 Edition
  • BNA Tax Management Portfolio: "EPCRS - Plan Correction and Disqualification," 2010 Edition
  • Quick Reference to HIPAA Compliance, Aspen Publishers, 2011 - 2012 Edition
  • The ERISA Fiduciary Compliance Guide, The National Underwriter Company, 2012
  • ERISA-Litigation, Procedure, Preemption and Other Title I Issues, BNA Tax Management Portfolio, 2012
  • Quick Reference to HIPAA Compliance, Aspen Publishers, 2012 - 2013 edition
  • Quick Reference to HIPAA Compliance, Aspen Publishers, 2013 - 2014 edition
  • International Pension Issues in a Global Economy: A Survey and Assessment of IRS' Role in Breaking Down the Barriers Tax Exempt and Government Entities, IRS Advisory Committee, 2009
  • Improving the Employee Plans Compliance Resolution System: A Roadmap for Greater Compliance Tax Exempt and Government Entities, IRS Advisory Committee, 2008
  • Analysis and Recommendations Regarding the IRS's Determination Letter Program, Tax Exempt and Government Entities, IRS Advisory Committee, 2010
  • Editorial Board, Law Firm Partnership & Benefits Report, 1999

Educational Background:

  • London School of Economics and Political Science, General Course Degree in Graduate Level Economics, Class One Distinction, Top 5% of all Foreign Students, 1983
  • Cornell University, B.A., Double Major in Economics and Government, Summa Cum Laude, Dean's List Every Semester, Distinction in all Subjects, Phi Beta Kappa, Phi Kappa Phi, Alpha Lambda Delta, 1984
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Office Location for Marcia S. Wagner

99 Summer Street
13th Floor
Boston, MA 02110

Marcia S. Wagner:

Last Updated: 5/29/2019

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