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Nicholas W. Ferrigno Jr. Nick is a member of the Tax and Finance Practice Group, and the ERISA Controversy Team Chair. He concentrates his practice in employee benefits law and litigation. Nick has particular experience in ERISA fiduciary, compliance and criminal matters, having previously served with the U.S. Department of Labor - Employee Benefits Security Administration. Nick is the co-author of ERISA Facts, a reference book and software product that answers over 800 ERISA compliance questions, Benefits Facts, a reference book that answers over 600 employee benefits questions, and The Insider's Guide to DOL Plan Audits - How to Survive an Employee Benefit Plan Audit, a reference book that provides an insider's perspective on the U.S. Department of Labor's enforcement of ERISA.
Education
B.S.B.A., Finance, University of Rhode Island, 1982
J.D., cum laude, Salmon P. Chase College of Law, 1995, Northern Kentucky University
Admitted to Practice
Kentucky, 1995
Ohio, 2002
Courts Admitted to Practice
U.S. District Court, Eastern District of Kentucky
U.S. District Court, Western District of Kentucky
U.S. District Court, Northern District of Ohio
U.S. District Court, Southern District of Ohio
U.S. Court of Appeals for the Sixth Circuit
Professional Memberships and Affiliations
Kentucky Bar Association
Ohio Bar Association
Northern Kentucky Bar Association
Cincinnati Bar Association, Employee Benefits Committee (Past Chairman)
American Bar Association
Great Lakes Area TE/GE Council to the Internal Revenue Service (Past Employee Plans Coordinator)
Past Board Member of the Greater Cincinnati Compensation & Benefits Association
American Society of Pension Professionals & Actuaries (ASPPA)
ASPPA Benefits Council of Greater Cincinnati (Co-Founder and Past President)
The ESOP Association
Defense Research Institute
Achievements in Areas of Concentration
Chartered Life Underwriter (CLU)
Chartered Financial Consultant (ChFC)
Internship with Honorable J. Gregory Wehrman, United States District Court for the Eastern District of Kentucky
Honors and Awards
Selected to Kentucky Super Lawyers 2007
Named as a Cincy Leading Lawyer, Cincinnati Business Magazine, 2007, 2008
Recipient, Forty Under 40 Business Leaders of Cincinnati, Cincinnati Business Courier
Certificate of Appreciation from the Internal Revenue Service in recognition and appreciation of outstanding effort, involvement and commitment to the 2003 Employee Plans Continuing Professional Education
Civic and Charitable Involvement
Past Board of Governors, Salmon P. Chase College of Law Alumni Association
Former Member of the Government Affairs Committee, Sub-Committee on DOL Enforcement-American Society of Pension Professional & Actuaries
Erlanger Housing Development Corporation - Board Member
Boy Scouts of America - Past District Advancement Chairman - Daniel Boone District of the Dan Beard Council
Eagle Scout - Boy Scouts of America
Boy Scouts of America, Dan Beard Council, Board of Directors
Selected Publications and Presentations
Publications:
Insider's Guide to DOL Plan Audits (print publication), Co-Author (Aspen Publishers-Wolters Kluwer, 2007)
ERISA Facts (electronic and print publication), Co-Author (The National Underwriter Co., 1998-2008 Editions)
Benefit Facts (electronic and print publication), Co-Author (The National Underwriter Co., 2000-2008 editions)
Benefits Management Forum & Expo, September 2005
The Insider's Guide to DOL Plan Audits - How to Survive an Employee Benefit Plan Audit, (print publication), Co-Author (The National Underwriter Co.)
"The Hidden Risk in a Bear Market: Plan Sponsor Liability," May 2003
"Benefits Update," Family Business Update, October 2003
Benefitslink.com Website, ERISA Question & Answer Column, Co-Author, 1999-2001
"Retirement Plans for Small Employers, Parts I & II," Northern Kentucky Business Journal, November/December 1999
"Benefit Briefs," Lex Loci, NKBA Bi-Monthly Column
"Department of Labor Investigations of Retirement Plans - Tips and Traps," Northern Kentucky Bar Association, March 1999
"Avoiding Employee Benefits Liability," Northern Kentucky Business Journal, December 1998
"Department of Labor Service Provider Audits," The Pension Actuary, July-August 1998
"Employers Should Review Plan Asset Requirements," Benefits & HR Advisor, Vol. 6, No. 4, Winter 1997, published by Grant Thornton LLP
"Department of Labor's Enforcement Procedures: An Insider's View," Co-Author, Journal of Pension and Benefits, Vol. 4, No. 1, Autumn 1996 (Aspen Publishers, Inc.)
"Surviving a DOL Audit: Strategies That Work," Pension Plan Administrator, Volume 3, Issue 10, October 1996
"Surviving a DOL Audit: Tips from Former DOL Investigators," Pension Plan Administrator, Volume 3, Issue 9, September 1996
Presentations:
"When the Feds Come Knocking: Surviving a DOL Audit," 18th Annual Benefits Management Forum & Expo, September 2005
"Strategies To Reduce Health Care Costs," Northern Kentucky Chamber of Commerce, December 2004
Moderator, "The 'Hidden Fees' and 'Revenue Sharing' in 401(k) Retirement Plans," ASPPA Benefits Council of Greater Cincinnati, September 2004
Moderator, ASPPA Benefits Council of Greater Cincinnati Monthly Brown Bag Meeting, August 2004.
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