PLANSPONSOR - August/September 2019 - 10

Rules & Regulations
Court Rules on 'Actual Knowledge'
T
he U.S. District Court for the
Northern District of Georgia's
Atlanta Division has ruled once
again in an Employee Retirement Income
Security Act (ERISA) lawsuit filed against
SunTrust Bank. The underlying lawsuit
alleges that the bank's 401(k) plan engaged
in corporate self-dealing at the expense
of plan participants. The lead plaintiff
suggests that plan officials violated their
fiduciary duties of loyalty and prudence by
selecting a series of proprietary funds that
were more expensive and performed worse
than other funds they could have included
in the plan, and by repeatedly failing to
remove or replace the funds.
In 2014, the 11th U.S. Circuit Court
of Appeals had previously ruled in this
matter. Although the court disagreed
with the District Court's initial dismissal
of certain claims based on ERISA's threeyear
statute of limitations, it found all of
the claims were nonetheless time-barred
by ERISA's six-year statute of limitations.
The latest ruling out of the Georgia
District Court comes on the defendants'
motion for summary judgment on Count
VIII of the plaintiffs' second amended
consolidated class-action complaint. In its
ruling, the District Court grants summary
judgment on behalf of the defense.
Case documents show that Count
VIII alleges certain defendants " were
aware that their predecessor fiduciaries
had breached their duties in selecting
funds and thus breached their own duties
by failing to take adequate steps to remedy,
within the class period, their predecessors'
10 PLANSPONSOR.com August - September 2019
Art by Dadu Shin
breaches in selecting the funds at issue. "
Although the decision ultimately
sides with the defense, it goes into
significant detail regarding the sketchiness
of committee meeting minutes as
to genuine deliberation over the investment
menu during the class period. In its
analysis of the facts and legal standards
applying in this case, the District Court
states that " the issue on this motion for
summary judgment is a narrow one. " It
simply concerns the predecessor fiduciaries'
initial selection process for the affiliated
funds and whether the successor
fiduciary defendants may be held liable
for failing to remedy those allegedly
imprudent selections.
" Defendants argue that, for them
to be held liable for breaches by the
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PLANSPONSOR - August/September 2019

Table of Contents for the Digital Edition of PLANSPONSOR - August/September 2019

Reality Check
2019 PLANSPONSOR Target-Date Fund Survey
2019 PLANSPONSOR Participant Survey
2019 PLANSPONSOR National Conference
Opportunities Grow
Real Estate Has Been a Haven
Health Savings Strategies
PLANSPONSOR - August/September 2019 - C1
PLANSPONSOR - August/September 2019 - FC1
PLANSPONSOR - August/September 2019 - FC2
PLANSPONSOR - August/September 2019 - C2
PLANSPONSOR - August/September 2019 - 1
PLANSPONSOR - August/September 2019 - 2
PLANSPONSOR - August/September 2019 - 3
PLANSPONSOR - August/September 2019 - 4
PLANSPONSOR - August/September 2019 - 5
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PLANSPONSOR - August/September 2019 - 8
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PLANSPONSOR - August/September 2019 - 11
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PLANSPONSOR - August/September 2019 - 23
PLANSPONSOR - August/September 2019 - Reality Check
PLANSPONSOR - August/September 2019 - 25
PLANSPONSOR - August/September 2019 - 26
PLANSPONSOR - August/September 2019 - 27
PLANSPONSOR - August/September 2019 - 28
PLANSPONSOR - August/September 2019 - 29
PLANSPONSOR - August/September 2019 - 2019 PLANSPONSOR Target-Date Fund Survey
PLANSPONSOR - August/September 2019 - 31
PLANSPONSOR - August/September 2019 - 32
PLANSPONSOR - August/September 2019 - 33
PLANSPONSOR - August/September 2019 - 34
PLANSPONSOR - August/September 2019 - 35
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PLANSPONSOR - August/September 2019 - 38
PLANSPONSOR - August/September 2019 - 39
PLANSPONSOR - August/September 2019 - 2019 PLANSPONSOR Participant Survey
PLANSPONSOR - August/September 2019 - 41
PLANSPONSOR - August/September 2019 - 42
PLANSPONSOR - August/September 2019 - 43
PLANSPONSOR - August/September 2019 - 44
PLANSPONSOR - August/September 2019 - 45
PLANSPONSOR - August/September 2019 - 2019 PLANSPONSOR National Conference
PLANSPONSOR - August/September 2019 - 47
PLANSPONSOR - August/September 2019 - 48
PLANSPONSOR - August/September 2019 - 49
PLANSPONSOR - August/September 2019 - 50
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PLANSPONSOR - August/September 2019 - Opportunities Grow
PLANSPONSOR - August/September 2019 - 57
PLANSPONSOR - August/September 2019 - Real Estate Has Been a Haven
PLANSPONSOR - August/September 2019 - 59
PLANSPONSOR - August/September 2019 - Health Savings Strategies
PLANSPONSOR - August/September 2019 - 61
PLANSPONSOR - August/September 2019 - 62
PLANSPONSOR - August/September 2019 - 63
PLANSPONSOR - August/September 2019 - 64
PLANSPONSOR - August/September 2019 - C3
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