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Advanced ERISA Enforcement & Fiduciary Defense: Navigating DOL EBSA Investigations

A single EBSA information request can end in civil enforcement or a criminal referral. Respond to subpoenas, prepare for investigative site visits, preserve records, evaluate fiduciary exposure, and use VFCP and DFVCP to correct errors before enforcement escalates.

2026-11-30 13:00:00

1.5 hours

Program Details

2026-11-30 13:00:00

2026-11-30 13:00:00

1.5h CLE Credits

2026-11-30 13:00:00

1.5 hours

Program Details

2026-11-30 13:00:00

Program Details

2026-11-30 13:00:00

Over 1,000+ webinars

2026-11-30 13:00:00

1.5 hours

Course Overview

The First EBSA Letter Shapes Every Stage That Follows

2026-11-30 13:00:00

An EBSA investigation rarely signals how far it will go. It can open with an information request or a subpoena and move to an investigative site visit. It can then end in a civil enforcement action or a criminal referral. Each stage narrows the choices left to plan fiduciaries and the attorneys advising them.

Answer a subpoena without a plan, and the record works against the client. Fail to preserve relevant records, and exposure grows. Leave delinquent participant contributions uncorrected, and a fixable error becomes an enforcement matter. Overlook prohibited transactions or ESOP stock valuation disputes, and fiduciary liability follows. Delay correction, and the risk of escalating enforcement rises.

Attendees leave with a stage-by-stage plan for responding to subpoenas, information requests, and site visits. They leave with a method for coordinating internal investigations, preserving records, and communicating with federal investigators. They leave with a framework for evaluating fiduciary exposure and a correction strategy built on VFCP and DFVCP. This is practitioner work product, not a doctrine review.

Format

CLE Credit

1.5h CLE Credits

Level

Intermediate

Length

1.5

Key topics that will be covered

01
Subpoena and Request Response
Structure responses to EBSA subpoenas and information requests at each investigation stage.
02
Site Visit Preparation
Prepare plan fiduciaries for investigative site visits and communications with federal investigators.
03
Records and Internal Investigations
Coordinate internal investigations and preserve relevant records as the DOL inquiry develops.
04
Common Enforcement Risks
Identify prohibited transactions, delinquent participant contributions, ESOP valuation, and health and welfare issues.
05
Fiduciary Exposure Assessment
Evaluate fiduciary exposure as an investigation moves toward civil or criminal enforcement.
06
Voluntary Correction Programs
Use VFCP, DFVCP, and proactive compliance reviews to correct errors before enforcement escalates.

Program schedule

clock 2:30 pm - 3:30 pm EST

Managing DOL EBSA Investigations and Enforcement Inquiries

This topic will provide a step by step look at how EBSA investigations develop and the practical considerations at each stage. Attendees will examine how to respond to subpoenas and information requests, prepare for investigative site visits, coordinate internal investigations, preserve relevant records, communicate with federal investigators, and evaluate potential exposure as an investigation progresses toward civil or criminal enforcement.

José M. JaraJosé M. Jara
Briana M. SwiftBriana M. Swift
clock 3:40 pm - 4:10 pm EST

Identifying ERISA Enforcement Risks and Utilizing Voluntary Correction Programs

Attendees will also explore how proactive compliance reviews and programs such as the Voluntary Fiduciary Correction Program (VFCP) and Delinquent Filer Voluntary Compliance Program (DFVCP) can be used to correct errors, demonstrate good faith compliance, and reduce the risk of escalating enforcement.

José M. JaraJosé M. Jara
Briana M. SwiftBriana M. Swift
José M. Jara

José M. Jara

Fox Rothschild LLP

Briana M. Swift

Briana M. Swift

Littler Mendelson, P.C.

José M. Jara

José M. Jara

Fox Rothschild LLP

José M. Jara represents clients under investigation by the U.S. Department of Labor’s Employee Benefits Security Administration and defends clients in lawsuits filed by the DOL’s Office of the Solicitor over alleged civil and criminal violations of ERISA. Based in Fox Rothschild’s Morristown, New Jersey office, he concentrates on the Employee Retirement Income Security Act and on employment litigation and advisory work.

Education & Credentials

Mr. Jara holds an LL.M. and an Employee Benefits Law Certificate from Georgetown University Law Center, a J.D. from Benjamin N. Cardozo School of Law, and a B.S. from Manhattan College. He is admitted to the New Jersey bar, the U.S. District Court for the District of New Jersey, and the U.S. Court of Appeals for the Second Circuit. He speaks Spanish.

Recognition & Leadership

Within the American Bar Association’s Real Property, Trust and Estate Section, Mr. Jara chaired the Employee Plans and Executive Compensation Group from 2023 to 2025, and for 2025 to 2026 he is Vice Chair of the IRAs and Plan Distributions Committee and a member of the Joint Committee on Employee Benefits. Super Lawyers selected him as a Rising Star in Employee Benefits in New Jersey from 2023 through 2025. He is a Commissioner on the ABA Commission on Hispanic Legal Rights and Responsibilities, serves as Board Vice President of Rising Ground, and is a former board member and President of The Center for Family Support.

Professional Involvement

Mr. Jara is an Associate Member on the Advisory Committee on Fiduciary Issues of The ESOP Association and belongs to the National Center for Employee Ownership and the American Benefits Council’s Retirement Income Task Force. His recent presentations have addressed DOL and IRS Health and Welfare Plan audits, ESOP challenges and enforcement activity, ERISA Prohibited Transactions and Exemptions, and Fiduciary Issues in ESG Investing. He is also a member of the Professional Liability Underwriting Society, the CPR Institute’s Employment Dispute Committee, and the National Hispanic Bar Association.

Experience

Before joining Fox Rothschild, Mr. Jara was a senior pension law specialist and investigator with the DOL’s Employee Benefits Security Administration. He also worked as a pension consultant for an international accounting firm and as a complex claims director for an international insurance company, and he practiced at several law firms. He now defends plan sponsors, boards of directors, and fiduciaries in ERISA class actions alleging breach of fiduciary duty, including claims involving delinquent employee contributions, improper valuation of employer stock, excessive fees, and imprudent investments. He advises plan sponsors and fiduciaries on fiduciary responsibilities, prohibited transactions and exemptions, plan asset regulations, and plan fees and expenses. He helps clients correct fiduciary violations through the DOL Voluntary Fiduciary Correction Program, annual reporting failures through the DOL Delinquent Filer Voluntary Compliance Program, and retirement plan errors through the IRS Employee Plans Compliance Resolution System. His clients include corporations, tax-exempt organizations, associations, pension funds, boards of trustees, ESOPs, and multiemployer and multiple employer plans. His broader practice includes defending EEOC charges and DOL wage and hour investigations, conducting internal investigations, and advising on D&O, fiduciary, and EPL insurance matters.
Briana M. Swift

Briana M. Swift

Littler Mendelson, P.C.

Briana M. Swift worked as an employee benefits investigator with the U.S. Department of Labor while serving as a Presidential Management Fellow. A Shareholder in Littler’s Seattle office, she now advises on ERISA and tax compliance issues and on plan design, drafting, and administration.

Education & Credentials

Ms. Swift earned her J.D., cum laude, from Lewis & Clark Law School in 2016 and her B.A., magna cum laude, from the University of Arizona in 2011. She is admitted to the Washington bar and the U.S. Court of Appeals for the Ninth Circuit.

Recognition & Leadership

Super Lawyers named Ms. Swift a Rising Star in 2024. She served as Deputy Regional President for Region XVI of the Hispanic National Bar Association from 2020 to 2024 and as a Board Member and Vice Chair of Sound Child Care Solutions from 2022 to 2024.

Professional Involvement

Ms. Swift presented the Littler webinar “Navigating DOL Retirement Plan Audits: Insights and Future Trends” in April 2025 and spoke at Littler’s Pacific Northwest Regional Employer Conference in 2024 and 2025. Her published work includes analyses of MHPAEA compliance during the 2024 enforcement pause, the Supreme Court decision relieving ERISA plaintiffs of a pleading requirement and what it means for plan fiduciaries, the SECURE 2.0 student loan match, and San Francisco health care expenditure requirements, a piece that also appeared in SHRM.

Experience

Ms. Swift works with tax-qualified and nonqualified employee benefit plans, health and welfare plans, and retirement plans, and she assists with benefits and compensation matters arising in mergers and acquisitions. During her DOL fellowship, she also served as a visiting attorney with the Appellate Division of the U.S. Attorney’s Office for the District of Oregon, where she successfully argued a case before the Ninth Circuit Court of Appeals. Before joining Littler, she was an associate with a global law firm. In law school, she clerked with the Federal Public Defender’s Office for the District of Oregon and was a judicial extern for the Hon. Michael Simon of the U.S. District Court for the District of Oregon and the Hon. Mary Murguia of the Ninth Circuit Court of Appeals.
José M. Jara

José M. Jara

Fox Rothschild LLP

José M. Jara represents clients under investigation by the U.S. Department of Labor’s Employee Benefits Security Administration and defends clients in lawsuits filed by the DOL’s Office of the Solicitor over alleged civil and criminal violations of ERISA. Based in Fox Rothschild’s Morristown, New Jersey office, he concentrates on the Employee Retirement Income Security Act and on employment litigation and advisory work.

Education & Credentials

Mr. Jara holds an LL.M. and an Employee Benefits Law Certificate from Georgetown University Law Center, a J.D. from Benjamin N. Cardozo School of Law, and a B.S. from Manhattan College. He is admitted to the New Jersey bar, the U.S. District Court for the District of New Jersey, and the U.S. Court of Appeals for the Second Circuit. He speaks Spanish.

Recognition & Leadership

Within the American Bar Association’s Real Property, Trust and Estate Section, Mr. Jara chaired the Employee Plans and Executive Compensation Group from 2023 to 2025, and for 2025 to 2026 he is Vice Chair of the IRAs and Plan Distributions Committee and a member of the Joint Committee on Employee Benefits. Super Lawyers selected him as a Rising Star in Employee Benefits in New Jersey from 2023 through 2025. He is a Commissioner on the ABA Commission on Hispanic Legal Rights and Responsibilities, serves as Board Vice President of Rising Ground, and is a former board member and President of The Center for Family Support.

Professional Involvement

Mr. Jara is an Associate Member on the Advisory Committee on Fiduciary Issues of The ESOP Association and belongs to the National Center for Employee Ownership and the American Benefits Council’s Retirement Income Task Force. His recent presentations have addressed DOL and IRS Health and Welfare Plan audits, ESOP challenges and enforcement activity, ERISA Prohibited Transactions and Exemptions, and Fiduciary Issues in ESG Investing. He is also a member of the Professional Liability Underwriting Society, the CPR Institute’s Employment Dispute Committee, and the National Hispanic Bar Association.

Experience

Before joining Fox Rothschild, Mr. Jara was a senior pension law specialist and investigator with the DOL’s Employee Benefits Security Administration. He also worked as a pension consultant for an international accounting firm and as a complex claims director for an international insurance company, and he practiced at several law firms. He now defends plan sponsors, boards of directors, and fiduciaries in ERISA class actions alleging breach of fiduciary duty, including claims involving delinquent employee contributions, improper valuation of employer stock, excessive fees, and imprudent investments. He advises plan sponsors and fiduciaries on fiduciary responsibilities, prohibited transactions and exemptions, plan asset regulations, and plan fees and expenses. He helps clients correct fiduciary violations through the DOL Voluntary Fiduciary Correction Program, annual reporting failures through the DOL Delinquent Filer Voluntary Compliance Program, and retirement plan errors through the IRS Employee Plans Compliance Resolution System. His clients include corporations, tax-exempt organizations, associations, pension funds, boards of trustees, ESOPs, and multiemployer and multiple employer plans. His broader practice includes defending EEOC charges and DOL wage and hour investigations, conducting internal investigations, and advising on D&O, fiduciary, and EPL insurance matters.
Briana M. Swift

Briana M. Swift

Littler Mendelson, P.C.

Briana M. Swift worked as an employee benefits investigator with the U.S. Department of Labor while serving as a Presidential Management Fellow. A Shareholder in Littler’s Seattle office, she now advises on ERISA and tax compliance issues and on plan design, drafting, and administration.

Education & Credentials

Ms. Swift earned her J.D., cum laude, from Lewis & Clark Law School in 2016 and her B.A., magna cum laude, from the University of Arizona in 2011. She is admitted to the Washington bar and the U.S. Court of Appeals for the Ninth Circuit.

Recognition & Leadership

Super Lawyers named Ms. Swift a Rising Star in 2024. She served as Deputy Regional President for Region XVI of the Hispanic National Bar Association from 2020 to 2024 and as a Board Member and Vice Chair of Sound Child Care Solutions from 2022 to 2024.

Professional Involvement

Ms. Swift presented the Littler webinar “Navigating DOL Retirement Plan Audits: Insights and Future Trends” in April 2025 and spoke at Littler’s Pacific Northwest Regional Employer Conference in 2024 and 2025. Her published work includes analyses of MHPAEA compliance during the 2024 enforcement pause, the Supreme Court decision relieving ERISA plaintiffs of a pleading requirement and what it means for plan fiduciaries, the SECURE 2.0 student loan match, and San Francisco health care expenditure requirements, a piece that also appeared in SHRM.

Experience

Ms. Swift works with tax-qualified and nonqualified employee benefit plans, health and welfare plans, and retirement plans, and she assists with benefits and compensation matters arising in mergers and acquisitions. During her DOL fellowship, she also served as a visiting attorney with the Appellate Division of the U.S. Attorney’s Office for the District of Oregon, where she successfully argued a case before the Ninth Circuit Court of Appeals. Before joining Littler, she was an associate with a global law firm. In law school, she clerked with the Federal Public Defender’s Office for the District of Oregon and was a judicial extern for the Hon. Michael Simon of the U.S. District Court for the District of Oregon and the Hon. Mary Murguia of the Ninth Circuit Court of Appeals.

Credits by state

AK1.5
AL1.5
AR1.5
AZ1.5
CA1.5
CO1.5
CT1.5
DC1.5
DE1.5
FL1.5
GA1.5
HI1.5
IA1.5
ID1.5
IL1.5
IN1.5
KS1.5
KY1.5
LA1.5
MA1.5
MD1.5
ME1.5
MI1.5
MN1.5
MO1.8
MS1.5
MT1.5
NC1.5
ND1.5
NE1.5
NH90.0
NJ1.5
NM1.5
NV1.5
NY1.5
OH1.5
OK2.0
OR1.5
PA1.5
RI2.0
SC1.5
SD1.5
TN1.5
TX1.5
UT1.5
VA1.5
VT1.5
WA1.5
WI1.5
WV1.8
WY1.5

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Live stream programs

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Trusted by Legal Professionals

1000+

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Access to live webinars & recordings

10,000+

Trusted by Legal Professionals

1000+

Live stream programs

24/7

Access to live webinars & recordings

70,000+

Trusted by Legal Professionals

MCLE Credits

Alabama
Pending
Alaska
Approved
Arizona
Approved
Arkansas
Approved
California
Approved
Colorado
Pending
Connecticut
Approved
Delaware
Pending
District of Columbia
No Required
Florida
Approved
Georgia
Pending
Hawaii
Approved
Idaho
Pending
Illinois
Approved
Indiana
Pending
Iowa
Pending
Kansas
Pending
Kentucky
Pending
Louisiana
Pending
Maine
Pending
Maryland
No Required
Massachusetts
No Required
Michigan
No Required
Minnesota
Pending
Mississippi
Pending
Missouri
Approved
Montana
Pending
Nebraska
Pending
Nevada
Approved
New Hampshire
Approved
New Jersey
Approved
New Mexico
Approved
New York
Approved
North Carolina
Pending
North Dakota
Approved
Ohio
Approved
Oklahoma
Pending
Oregon
Pending
Pennsylvania
Approved
Rhode Island
Pending
South Carolina
Pending
South Dakota
No Required
Tennessee
Approved
Texas
Approved
Utah
Pending
Vermont
Approved
Virginia
Not Eligible
Washington
Approved
West Virginia
Pending
Wisconsin
Pending
Wyoming
Pending

Alabama

Requirements

The Alabama State Bar MCLE Commission requires attorneys to complete 12 credits, including 1 ethics, by December 31 of each year. All credits must be reported by February 15 of the following year. A maximum of 12 credits, including 1 ethics credit, may be carried over for 1 year only.  

Formats

  • Attorneys can earn unlimited “live” credit through live seminars, live webcasts, and co-sponsored locations with MyLAWCLE-Alabama approved programs
  • Attorneys are limited to 6 credits per compliance period of “online” programs through MyLAwCLE On-Demand programs