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January Meeting: Confessions of a Former DOL Investigator

  • Friday, January 17, 2020
  • 12:00 PM - 1:30 PM
  • NBS, 8523 S Redwood Rd, West Jordan, UT 84088


(depends on selected options)

Base fee:
  • One Free Guest per Member

Please join us for our January Luncheon!

Confessions of a Former DOL Investigator

The thought of a federal investigator running a compliance review of your employee benefit plans is an employer’s worst nightmare.  The average recovery of a DOL examination in 2018 was more than $1.27 million, which doesn’t include internal resources and legal fees. With an increased enforcement emphasis, a world of litigation, and healthcare reform headaches, the DOL’s activity is presenting employers with difficult compliance obligations. Avoiding a DOL investigation is the ultimate goal, but if selected, plans must be prepared in order to achieve the best outcome. Learning objectives of this workshop will include:

  • Understand how the DOL is organized and operates;
  • Learn about the authority of the DOL under ERISA, and your fiduciary rights and obligations;
  • Recognize how and why your Retirement and Health plans are selected for an investigation, including the most common issues;
  • Learn about the process of the investigation, what the DOL looks for, your obligations to provide information, and what you can expect to occur from beginning to end;
  • Get tips and best practices to make the process run as smoothly as possible; and    
  • Discuss what’s in store for employers in 2019.

About Our Presenter:

Presented by Sam Henson, JD

SVP – Director of Legislative & Regulatory Affairs, Lockton

In his daily role, Sam oversees ERISA compliance, DOL/IRS activities, and the legislative landscape for more than 50,000 Lockton clients and 7,000 associates.  He is a nationally featured speaker and author on numerous fiduciary topics, having appeared in the Wall Street Journal, Plan Sponsor, Benefits Magazine, Benefits Quarterly, Insurance News, and Business Insurance.  Prior to joining Lockton, Sam spent almost 10 years with the U.S. Department of Labor’s Employee Benefits Security Administration, where he conducted more than 150 civil and criminal investigations of employee benefits plans, service providers, and fiduciaries.  Sam also supervised enforcement efforts for benefit plans funded by prevailing wage laws under the Service Contract Act and Davis-Bacon Act.  He was the 2011 recipient of the Secretary of Labor’s Exceptional Achievement Award.  Sam is the 2019 ISCEBS Governing Council President.  He also serves on the Policy Board and is Chair of the Retirement Task Force of the American Benefits Council, serves on the Board of Directors of DCIIA, and is a member of the American Bar, ASPPA and NAPA.  Sam earned his Juris Doctorate at the University of Missouri-Kansas City School of Law and holds CEBS – Fellow, RPA, GBA, and ASPPA - APM designations. 


January Meeting: Confessions of a Former DOL Investigator

Date: Friday, January 17, 2020

National Benefits Services (NBS)
8523 S Redwood Road
West Jordan, UT 84088

(Note: Enter the main (North) door, check in with the receptionist & you will be directed to the conference room.)

Members are free. Non-members are welcome, and the $25.00 fee can be paid online with a credit card or at the door by check or cash. Please RSVP by 4:00 p.m. on January 15, 2020, to ensure we have space available for you.

If you require any assistance or would like to notify us of your dietary restrictions, please do not hesitate to contact us at If you know someone who may be interested in attending our meetings, please feel free to forward this email.

Western Pension & Benefits Council, Salt Lake Chapter
P.O. Box 11641, Salt Lake City, UT 84147

Please feel free to reach out to WPBC with any questions.

Direct Questions To:

155 N 400 W
STE 400
Salt Lake City, UT 84103

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