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Episode Guest:

Sam Henson, JD

Director, Legislative & Regulatory Affairs

Lockton Retirement Services

The DOL and Your 401(k) Plan

Guest: Sam Henson, JD

 

A must listen if you are concerned about a DOL investigation of your 401(k) plan.  Our conversation is full of great information about:

  • How the DOL operates.

  • How DOL investigations are triggered.  

  • Important steps you should take if you receive a  letter notifying you of a DOL investigation. 

  • Recommendations and best practices to help avoid DOL investigations and minimize the severity of potential findings.  

 

 

Guest Bio

Sam Hension serves as Vice President and Director, Legislative & Regulatory Affairs for Lockton Retirement Services. He acts as a subject matter expert on ERISA compliance, DOL/IRS activities, and the legislative landscape. In addition, Sam supervises compliance services for more than 1,000 Lockton retirement clients and 100 Retirement Associates.

 

Prior to joining Lockton, Sam spent almost 10 years with the U.S. Department of Labor’s Employee Benefits Security Administration. While with the DOL, Sam was a Senior Investigator, conducting more than 100 civil and criminal investigations of employee benefits plans, service providers, and fiduciaries. Sam supervised enforcement efforts for benefit plans funded by prevailing wage laws under the Service Contract Act and Davis-Bacon Act. 

 

In his current role, Sam is able to leverage his past experiences to assist employers with reducing their fiduciary risks.

 

Sam earned his J.D. at the University of Missouri-Kansas City School of Law, and received his B.S. in Political Science from Northwest Missouri State University.

 

Disclosures

Securities offered through Lockton Financial Advisors, LLC a registered broker-dealer, member FINRA, SIPC.  Investment advisory services offered through Lockton Investment Advisors, LLC, a federally registered investment adviser.  For California, Lockton Financial Advisors, LLC, d.b.a. Lockton Insurance Services, LLC, license number 0G13569. The Business Continuity Plan for Lockton Financial Advisors, LLC, may be found here. Not all members affiliated with Lockton offer securities or investment advisory services. Lockton Insurance Agency, Inc. is the parent company of LFA and LIA.  

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