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Department of Labor Audits and Investigations

The firm helps clients navigate routine Department of Labor audits investigating the failure to properly document policies and procedures, adequately maintain documents and records, provide benefits as required by the governing Plan Documents, and properly adjudicate claims and appeals in compliance with the DOL regulations and rules of the plan, among others.

In particular, our firm has been retained as special counsel to assist employee benefit funds in Department of Labor audits and investigations concerning breach of fiduciary duty, prohibited transactions, and reporting and disclosure violations. In resolving Department of Labor audits and investigations, our attorneys work with the fund office staff, administrators, and service providers to investigate the alleged violations, prepare a defense, demonstrate compliance with the laws and regulations, and communicate with the Department of Labor.