Krieg DeVault LLP

Alexander L. Mounts

Partner
Office: Indianapolis
amounts@kdlegal.com
p: 317-238-6335
f: 317-636-1507

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Overview
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Alexander L. Mounts is a member of the firm’s Employee Benefits and Executive Compensation and Employee Stock Ownership Plans (ESOPs) Practices. His practice includes counseling both for-profit and not-for-profit clients on a wide spectrum of employee benefits-related matters, including but not limited to, drafting and designing qualified retirement plans; counseling on tax and benefit issues in mergers and acquisitions; interacting with the IRS and DOL on correction of operational and plan document failures; responding to IRS or DOL plan audits; or requesting IRS or DOL guidance through private letter rulings, advisory opinions or prohibited transaction exemptions.

Mr. Mounts also has a focus on employee stock ownership plans (ESOPs) and spends significant time working with companies, trustees, lenders and sellers on issues surrounding ESOPs including design and implementation, sales of ESOP companies, ongoing advice and fiduciary and governance counseling. His practice is also focused on executive compensation matters including designing and implementing nonqualified deferred compensation plans and equity and non-equity-based incentive compensation programs for public, private, and not-for-profit companies. He works with these entities on compliance with Internal Revenue Code Sections 83, 162(m), 280G, 409A, 457.

Experience
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Representative Experience

  • Involved in 100+ ESOP transactions across the country for companies in the grocery, brewery, engineering, architectural, consulting, construction, manufacturing and financial institution industries.
  • Represented ESOP trustee in the $1.7B sale of 100% owned ESOP company
  • Advise large public transit system on employee benefits matters
  • Advise multiple publicly traded companies on employee benefits matters
  • Designed and implemented nonqualified deferred compensation plans for multiple publicly traded companies

Professional Associations

  • National Center for Employee Ownership (Member)
  • The ESOP Association (Member of Legislative and Regulatory Committee)
  • Indiana Chapter of The ESOP Association (Vice President)
  • Employee Owned S Corporations of America (Professional Member)
  • Ohio Employee Ownership Center (Member)

Awards & Recognitions

  • Best Lawyers In America©, Employee Benefits (ERISA) Law, 2023-2025
  • Indiana Super Lawyers, 2021-2025
  • Indiana Super Lawyers Rising Stars, 2009-2019

Seminars & Presentations

  • Presenter, "Harnessing the Power of Executive Benefits in an ESOP-owned Company", The ESOP Association Indiana Chapter Spring Conference, March 2024
  • Presenter, "Thoughts and Considerations Regarding Advanced ESOP and Succession Strategies," Insights for Executives Video Series - Kidd Consulting Group, September 2, 2022 
  • "Executive Compensation" The NCEO Fall ESOP Forum, September 2019
  • "ESOP: Legacy, Empowerment & Succession Planning" Butler Old National Bank Center for Closely Held Business, August 2019
  • "Assessing the Feasibility of an ESOP" ESOP Nuts and Bolts: What You Need to Know About Employee Stock Ownership Plans, August 2018
  • "An Introduction to Employee Stock Ownership Plans (ESOPs)" Indybar Association, August 2018
  • "ESOP Trivia" Indiana Chapter of The ESOP Association's 2017 Annual Spring Conference, March 2017
  • “ESOP Trivia” The ESOP Association Las Vegas Conference and Trade Show
  • "Monitoring or Replacing your Trustee," NCEO Employee Ownership Conference, April 2016
  • "Boards of Directors' and Trustees' Roles in ESOP Companies," The ESOP Association 2015 Las Vegas Conference, November 2015
  • "ESOPs: Empowering Community Banks," Subchapter S Bank Association 18th Annual Conference, October 2015
  • "ESOPs: From Basics to Expansion and Exit Strategy," Association for Corporate Growth - Indiana Chapter, October 2015
  • "Regulatory Issues for Executive Compensation," NCEO Atlanta Regional Conference, October 2015
  • "Improving the Governance of ESOP Companies," The 14th Annual Tri-State ESOP Conference, June 2015
  • "Employee Stock Ownership Plans: Is it the Right Fit for Our Company in the United States," Association of Corporate Counsel, April 2015
  • “Re-Evaluating Your ESOP,” NCEO Employee Ownership Conference, April 2015
  • "ProCourse Fiduciary Advisors Webinar: Nonqualified Plans: Uncovering Trends and Overcoming Challenges," February 2015
  • "Boards of Directors' and Trustees' Roles in ESOP Companies," The ESOP Association 2014 Las Vegas Conference
  • "ESOPs: How to Enjoy the Advantages and Avoid the Risks," Subchapter S Bank Association Webinar, August 2014
  • "ERISA Training," Indiana Department of Financial Institutions Conference, August 2014
  • "Board of Directors in ESOP Companies," Indiana Chapter of the ESOP Association Corporate Governance Workshop, June 2014
  • "Business Succession Planning Using ESOPs", Indianapolis Bar Association, April 2014
  • "What Makes a Good Employee-Owned Company?  An Interdisciplinary View", NCEO Annual Conference, April 2014
  • "Regulatory Issues for Executive Compensation (Code Sections 409A and 409(p))", NCEO Minneapolis Regional Conference, October 2013
  • "Key Roles in Your ESOP – the Fiduciary Issues", Ohio Employee Ownership Center Webinar, October 2013
  • "ProCourse Fiduciary Advisors Webinar: 10 Things to Learn from Recent Retirement Plan Litigation", September 2013
  • "ESOP 101: Linchpins for ESOP Success", Indiana Chapter of the ESOP Association's Linchpins for ESOP Success Conference, February 2013
  • "Strategic Planning for Sub S Shareholders: ESOP", Subchapter S Bank Association 15th Annual Conference, November 2012
  • "Transferring 401(k) or Profit Sharing Accounts to an ESOP", The ESOP Association 4th Annual Midwest Regional Conference, September 2012
  • "Transferring 401(k) or Profit Sharing Accounts to an ESOP", NCEO Annual Conference, April 2012
  • "Fiduciary Best Practices", Indiana Chapter of ESOP Association Round Tables and Round Ball ESOP Conference, March 2012
  • "ESOPs: How to Enjoy the Advantages and Avoid the Risks", Subchapter S Bank Association 14th Annual Conference, November 2011
  • Krieg DeVault LLP Interactive Webinar: New IRS Rules Affect Thinly-Traded Financial Institutions with ESOPs, September 2011
  • "Transferring 401(k) or Profit Sharing Accounts to an ESOP", 10th Annual Tri-State ESOP Conference
  • "Regulatory Issues for Executive Compensation (Code Sections 409A and 409(p))", NCEO Atlanta Regional Conference, June 2011
  • Krieg DeVault LLP Interactive Webinar: Employee Stock Ownership Plans for Financial Institutions, March 2011
  • "Deferred Compensation and Section 409A: What You Don't Know Can Hurt You", February 2011, ICLEF Seminar
  • "The ESOP Opportunity: What You and Your Clients Should Know", February 2011, ICLEF Seminar
  • "Hot Topics in ESOP Legal and Regulatory Issues", 3rd Annual Michiana ESOP Conference
  • "Management Succession: Getting it Right", NCEO 2010 Employee Ownership Annual Conference
  • "S Corporation ESOPs: How to Take Advantage of the Benefits and Avoid the Risks", Subchapter S Bank Association Regional Conference
  • "Fiduciary Responsibilities of Successor Trustees", The ESOP Association 2010 Las Vegas Conference
  • "Introduction to Code Section 409A", Indiana Benefits Conference
  • "Handling Fiduciary Issues in a Challenging Economy", 8th Annual Tri-State ESOP Conference
  • "409A Regulation Compliance and ESOP Companies", 7th Annual Tri-State ESOP Conference
  • "What Kind of Equity Plans are Exempt from 409A and What are Not?", National Center for Employee Ownership (NCEO) Webinar
  • "Code Section 409A Update", Association for Corporate Counsel
  • "Introduction to Deferred Compensation", Various State Human Resource Associations
  • "Primer on Code Section 409A", Indianapolis Bar Association
  • "ESOPs and Deferred Compensation", Hoosier Hills Estate Planning Conference

Publications

  • Author: "ESOPs: Secure your Future - Empower Employees", Construction News and Review Magazine, July 2024
  • Legal Update Column: Motion to Dismiss Denied in Case Alleging Fiduciary Status of Trust Employee, ESOP Report, May 2017
  • The Right Way for an ESOP to Bank Stock, BankNotes, May 2016
  • The Right Way for an S Corporation ESOP to Buy Bank Stock (At Least from the IRS's and DOL's Perspective), The Sub S Bank Report, Vol.14, Issue 2, July 2011
  • Special Considerations for Financial Institution ESOPs, ESOP Valuation Issues: An NCEO Issue Brief, 2011
  • ESOP Fables: Are Employee Stock Ownership Plans too Good to be True?, BankNews, April 2010
  • "Indiana's ESOP Initiative," Insights, Spring 2009
  • "Deferred Compensation Rules Changing; Policy Review Needed," Biz Voice, July/August 2006: 65
  • "A Snake in the Grass, Don’t Get Bitten By Code Section 409A," Martindale-Hubbell Counsel to Counsel Employee Benefits Email Alert, February 2006
Credentials
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Education

  • J.D., Indiana University Robert H. McKinney School of Law, Indianapolis, Indiana, 2004
    • Indiana Law Review, Notes Development Editor
  • B.A., cum laude, Taylor University, Upland, Indiana, 2001

Bar & Court Admissions

  • Indiana, 2004
  • Minnesota, 2013

Certifications

  • Legal Lean Sigma® White Belt
Practices & Industries
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Practices

  • Employee Benefits and Executive Compensation
  • Labor and Employment
  • Employee Stock Ownership Plans
  • Securities
  • ESOP Finance and Lending
  • Fraternities and Sororities

Industries

  • Employee Stock Ownership Plans
  • Education and School Law
Beyond the Office
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Travel

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Family Time

Insights
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Employee Benefits

What is an ESOP? (Podcast)

January 24, 2022

Employee Benefits

IRS Announces Retirement Plan Limitations for 2022

November 15, 2021

Employee Benefits

Is It Time to Amend Your Plan Documents for Class Action Waiver and/or Mandatory Arbitration Clauses?

January 11, 2021

Employee Benefits

IRS Provides Flexibility for Cafeteria Plans to Permit Mid-Year Election Changes, Extend FSA and DCAP Claims Periods

May 13, 2020

Employee Benefits

DOL and IRS Pandemic Relief for Group Health Plans and Retirement Plans

May 12, 2020

Employee Benefits

The CARES Act: Changes Posed to Health Plans and HSAs

April 2, 2020

Employee Benefits

The CARES Act: Changes Posed to Employer-Sponsored Retirement Plans

March 31, 2020

Employee Benefits

Executive Compensation Restrictions Under the CARES Act

March 31, 2020

Employee Benefits

ESOP COVID-19 Alert

March 23, 2020

Firm News and Events

Krieg DeVault Announces 9 Attorneys as 2025 Indiana Super Lawyers; 12 as 2025 Indiana Rising Stars

February 18, 2025

Litigation

Beyond the Basics: The Beauty of ESOPs, with Bill Merten

January 8, 2025

Employee Benefits

Fenton D. Strickland Named Chair of Krieg DeVault’s Employee Benefits and Executive Compensation Practice

January 1, 2025

Employee Benefits

IRS Announces Retirement Plan Limitations for 2025

November 5, 2024

Krieg DeVault Podcast Series

How Employee Benefits Law Impacts Every Workplace with Catherine “Katy” Stowers (Podcast)

May 30, 2024

Employee Benefits

Plan Sponsors Take Note: New Litigation Brings Attention to Potential Fiduciary Risk for Group Health Plan Sponsors

March 26, 2024

Employee Benefits

Covering Long-Term, Part-Time Employees Under 401(k)

January 23, 2024

Employee Benefits

IRS Announces Retirement Plan Limitations for 2024

November 2, 2023

Business

Is Your Business Ready? Preparing for and Complying with the Corporate Transparency Act

August 31, 2023

Employee Benefits

IRS Extends Effective Date for Roth Treatment of Catch-Up Contributions to 2026

August 30, 2023

Employee Benefits

IRS Issues Notice Regarding ESOP Compliance

August 22, 2023

Employee Benefits

Secure Act 2.0 Allows Employers to Make Matching Contributions to Retirement Plans Based on Employees’ Student Loan Payments

August 17, 2023

Employee Benefits

2024 HSA Limits Released

June 1, 2023

Firm News and Events

Krieg DeVault Announces 10 Attorneys as 2023 Indiana Super Lawyers; 9 as 2023 Indiana Rising Stars

February 28, 2023

Employee Benefits

SECURE Act 2.0 Expands on 2019 Secure Act Retirement Provisions

January 17, 2023

Employee Benefits

Fiduciary Alert: New ERISA Group Health Plan Service Provider Fee Disclosures Require Plan Sponsor Attention

January 4, 2023

Employee Benefits

Guidance on New RMD Rules in IRS Notice 2022-53; Final Regulations Forthcoming

November 16, 2022

Employee Benefits

IRS Announces Retirement Plan Limitations for 2023

October 24, 2022

Firm News and Events

William W. Merten Joins Krieg DeVault’s ESOP and Employee Benefits & Executive Compensation Practices

September 22, 2022

Employee Benefits

IRS Announces Extension for SECURE & CARES Act Amendments

August 24, 2022

Employee Benefits

IRS Announces Extension for SECURE & CARES Act Amendments

August 23, 2022

Firm News and Events

13 Krieg DeVault Attorneys Recognized by 2023 Best Lawyers®; 7 Named to the 2023 Best Lawyers in America® Listing; 1 Receives “Lawyer of the Year” Designation; 6 Receive “Ones to Watch” Designation

August 18, 2022

Employee Benefits

IRS Announces Launch of Pre-Examination Compliance Program for Qualified Retirement Plans

June 28, 2022

Firm News and Events

Krieg DeVault Announces 2022 Partner Promotions

January 1, 2022

Employee Benefits

Revenue Procedure 2021-30 Brings Welcome Changes to IRS Correction Program

September 8, 2021

Employee Benefits

U.S. Department of Labor Issues Cybersecurity Guidance for Retirement Plans

July 13, 2021

Employee Benefits

DOL Issues Temporary Safe Harbor for Missing Participants in Terminating Defined Contributions Plans

July 6, 2021

Employee Benefits

IRS Announces Retirement Plan Limitations for 2021

October 27, 2020

Business

Tax-Exempt Organizations Should be Prepared to File and Pay the Section 4960 Excise Tax on Executive Compensation by July 15, 2020

June 29, 2020

Employee Benefits

DOL Finalizes Rule Providing Alternative Safe Harbor Method for Electronic Disclosure by ERISA Retirement Plans

May 28, 2020

Employee Benefits

IRS Guidance Increases FSA Carryover Limit, Clarifies Reimbursement of Individual Health Coverage Premiums

May 14, 2020

Employee Benefits

Employer Tax-Free, Deductible Disaster Relief Benefits for Employees

April 20, 2020

Employee Benefits

IRS Provides Guidance For HSAs and Retirement Plans

April 9, 2020

Employee Benefits

COVID-19 and Partial Plan Terminations

April 2, 2020

Employee Benefits

IRS to Issue Guidance for High Deductible Health Plans in Light of COVID-19

March 10, 2020

Employee Benefits

The Setting Every Community Up for Retirement Enhancement (SECURE) Act

February 26, 2020

Employee Benefits

Mandatory Arbitration, Class Action & Exhaustion Provisions: Cause to Amend Claims Procedures?

February 24, 2020

Firm News and Events

Eight Attorneys Named to 2020 Best Lawyers in America Listing

August 14, 2019

Firm News and Events

Corben A. Lee Joins Krieg DeVault's Business, Acquisitions, and Securities and Employee Benefits and Executive Compensation Practice Groups

January 27, 2019

Thought Leadership

Proposed Regulations Allowing for Expanded Usage of Health Reimbursement Arrangements (HRAs) - Another Step In President Trump's Focus on Health Care Reform

November 18, 2018

Thought Leadership

Proposed Regulations Allowing for Expanded Usage of Health Reimbursement Arrangements (HRAs) - Another Step In President Trump's Focus on Health Care Reform

November 18, 2018

Thought Leadership

IRS Announces Pension Plan Limitations for 2019

November 15, 2018

Thought Leadership

IRS Issues Proposed Regulations for Hardship Distributions

November 14, 2018

Firm News and Events

10 Krieg DeVault Attorneys Named to 2019 Best Lawyers in America Listing

August 14, 2018

Thought Leadership

Recent Guidance for the Mental Health Parity Act: Are You in Compliance?

June 18, 2018

Thought Leadership

IRS Does An "About-Face" On HSA Limits

April 30, 2018

Thought Leadership

IRS Reduces 2018 Limits for Health Savings Accounts and Adoption Credits

March 11, 2018

Thought Leadership

Bipartisan Budget Act of 2018

March 11, 2018

Thought Leadership

New Disability Claims Final Regulations - Effective April 1st!

March 11, 2018

Thought Leadership

Employee Benefits and Tax Reform: What You Need to Know

February 15, 2018

Thought Leadership

IRS Provides Year-End Gift

January 1, 2018

See LessSee All

  • Overview
  • Experience
  • Credentials
  • Practices & Industries

Alexander L. Mounts is a member of the firm’s Employee Benefits and Executive Compensation and Employee Stock Ownership Plans (ESOPs) Practices. His practice includes counseling both for-profit and not-for-profit clients on a wide spectrum of employee benefits-related matters, including but not limited to, drafting and designing qualified retirement plans; counseling on tax and benefit issues in mergers and acquisitions; interacting with the IRS and DOL on correction of operational and plan document failures; responding to IRS or DOL plan audits; or requesting IRS or DOL guidance through private letter rulings, advisory opinions or prohibited transaction exemptions.

Mr. Mounts also has a focus on employee stock ownership plans (ESOPs) and spends significant time working with companies, trustees, lenders and sellers on issues surrounding ESOPs including design and implementation, sales of ESOP companies, ongoing advice and fiduciary and governance counseling. His practice is also focused on executive compensation matters including designing and implementing nonqualified deferred compensation plans and equity and non-equity-based incentive compensation programs for public, private, and not-for-profit companies. He works with these entities on compliance with Internal Revenue Code Sections 83, 162(m), 280G, 409A, 457.

Representative Experience

  • Involved in 100+ ESOP transactions across the country for companies in the grocery, brewery, engineering, architectural, consulting, construction, manufacturing and financial institution industries.
  • Represented ESOP trustee in the $1.7B sale of 100% owned ESOP company
  • Advise large public transit system on employee benefits matters
  • Advise multiple publicly traded companies on employee benefits matters
  • Designed and implemented nonqualified deferred compensation plans for multiple publicly traded companies

Professional Associations

  • National Center for Employee Ownership (Member)
  • The ESOP Association (Member of Legislative and Regulatory Committee)
  • Indiana Chapter of The ESOP Association (Vice President)
  • Employee Owned S Corporations of America (Professional Member)
  • Ohio Employee Ownership Center (Member)

Awards & Recognitions

  • Best Lawyers In America©, Employee Benefits (ERISA) Law, 2023-2025
  • Indiana Super Lawyers, 2021-2025
  • Indiana Super Lawyers Rising Stars, 2009-2019

Seminars & Presentations

  • Presenter, "Harnessing the Power of Executive Benefits in an ESOP-owned Company", The ESOP Association Indiana Chapter Spring Conference, March 2024
  • Presenter, "Thoughts and Considerations Regarding Advanced ESOP and Succession Strategies," Insights for Executives Video Series - Kidd Consulting Group, September 2, 2022 
  • "Executive Compensation" The NCEO Fall ESOP Forum, September 2019
  • "ESOP: Legacy, Empowerment & Succession Planning" Butler Old National Bank Center for Closely Held Business, August 2019
  • "Assessing the Feasibility of an ESOP" ESOP Nuts and Bolts: What You Need to Know About Employee Stock Ownership Plans, August 2018
  • "An Introduction to Employee Stock Ownership Plans (ESOPs)" Indybar Association, August 2018
  • "ESOP Trivia" Indiana Chapter of The ESOP Association's 2017 Annual Spring Conference, March 2017
  • “ESOP Trivia” The ESOP Association Las Vegas Conference and Trade Show
  • "Monitoring or Replacing your Trustee," NCEO Employee Ownership Conference, April 2016
  • "Boards of Directors' and Trustees' Roles in ESOP Companies," The ESOP Association 2015 Las Vegas Conference, November 2015
  • "ESOPs: Empowering Community Banks," Subchapter S Bank Association 18th Annual Conference, October 2015
  • "ESOPs: From Basics to Expansion and Exit Strategy," Association for Corporate Growth - Indiana Chapter, October 2015
  • "Regulatory Issues for Executive Compensation," NCEO Atlanta Regional Conference, October 2015
  • "Improving the Governance of ESOP Companies," The 14th Annual Tri-State ESOP Conference, June 2015
  • "Employee Stock Ownership Plans: Is it the Right Fit for Our Company in the United States," Association of Corporate Counsel, April 2015
  • “Re-Evaluating Your ESOP,” NCEO Employee Ownership Conference, April 2015
  • "ProCourse Fiduciary Advisors Webinar: Nonqualified Plans: Uncovering Trends and Overcoming Challenges," February 2015
  • "Boards of Directors' and Trustees' Roles in ESOP Companies," The ESOP Association 2014 Las Vegas Conference
  • "ESOPs: How to Enjoy the Advantages and Avoid the Risks," Subchapter S Bank Association Webinar, August 2014
  • "ERISA Training," Indiana Department of Financial Institutions Conference, August 2014
  • "Board of Directors in ESOP Companies," Indiana Chapter of the ESOP Association Corporate Governance Workshop, June 2014
  • "Business Succession Planning Using ESOPs", Indianapolis Bar Association, April 2014
  • "What Makes a Good Employee-Owned Company?  An Interdisciplinary View", NCEO Annual Conference, April 2014
  • "Regulatory Issues for Executive Compensation (Code Sections 409A and 409(p))", NCEO Minneapolis Regional Conference, October 2013
  • "Key Roles in Your ESOP – the Fiduciary Issues", Ohio Employee Ownership Center Webinar, October 2013
  • "ProCourse Fiduciary Advisors Webinar: 10 Things to Learn from Recent Retirement Plan Litigation", September 2013
  • "ESOP 101: Linchpins for ESOP Success", Indiana Chapter of the ESOP Association's Linchpins for ESOP Success Conference, February 2013
  • "Strategic Planning for Sub S Shareholders: ESOP", Subchapter S Bank Association 15th Annual Conference, November 2012
  • "Transferring 401(k) or Profit Sharing Accounts to an ESOP", The ESOP Association 4th Annual Midwest Regional Conference, September 2012
  • "Transferring 401(k) or Profit Sharing Accounts to an ESOP", NCEO Annual Conference, April 2012
  • "Fiduciary Best Practices", Indiana Chapter of ESOP Association Round Tables and Round Ball ESOP Conference, March 2012
  • "ESOPs: How to Enjoy the Advantages and Avoid the Risks", Subchapter S Bank Association 14th Annual Conference, November 2011
  • Krieg DeVault LLP Interactive Webinar: New IRS Rules Affect Thinly-Traded Financial Institutions with ESOPs, September 2011
  • "Transferring 401(k) or Profit Sharing Accounts to an ESOP", 10th Annual Tri-State ESOP Conference
  • "Regulatory Issues for Executive Compensation (Code Sections 409A and 409(p))", NCEO Atlanta Regional Conference, June 2011
  • Krieg DeVault LLP Interactive Webinar: Employee Stock Ownership Plans for Financial Institutions, March 2011
  • "Deferred Compensation and Section 409A: What You Don't Know Can Hurt You", February 2011, ICLEF Seminar
  • "The ESOP Opportunity: What You and Your Clients Should Know", February 2011, ICLEF Seminar
  • "Hot Topics in ESOP Legal and Regulatory Issues", 3rd Annual Michiana ESOP Conference
  • "Management Succession: Getting it Right", NCEO 2010 Employee Ownership Annual Conference
  • "S Corporation ESOPs: How to Take Advantage of the Benefits and Avoid the Risks", Subchapter S Bank Association Regional Conference
  • "Fiduciary Responsibilities of Successor Trustees", The ESOP Association 2010 Las Vegas Conference
  • "Introduction to Code Section 409A", Indiana Benefits Conference
  • "Handling Fiduciary Issues in a Challenging Economy", 8th Annual Tri-State ESOP Conference
  • "409A Regulation Compliance and ESOP Companies", 7th Annual Tri-State ESOP Conference
  • "What Kind of Equity Plans are Exempt from 409A and What are Not?", National Center for Employee Ownership (NCEO) Webinar
  • "Code Section 409A Update", Association for Corporate Counsel
  • "Introduction to Deferred Compensation", Various State Human Resource Associations
  • "Primer on Code Section 409A", Indianapolis Bar Association
  • "ESOPs and Deferred Compensation", Hoosier Hills Estate Planning Conference

Publications

  • Author: "ESOPs: Secure your Future - Empower Employees", Construction News and Review Magazine, July 2024
  • Legal Update Column: Motion to Dismiss Denied in Case Alleging Fiduciary Status of Trust Employee, ESOP Report, May 2017
  • The Right Way for an ESOP to Bank Stock, BankNotes, May 2016
  • The Right Way for an S Corporation ESOP to Buy Bank Stock (At Least from the IRS's and DOL's Perspective), The Sub S Bank Report, Vol.14, Issue 2, July 2011
  • Special Considerations for Financial Institution ESOPs, ESOP Valuation Issues: An NCEO Issue Brief, 2011
  • ESOP Fables: Are Employee Stock Ownership Plans too Good to be True?, BankNews, April 2010
  • "Indiana's ESOP Initiative," Insights, Spring 2009
  • "Deferred Compensation Rules Changing; Policy Review Needed," Biz Voice, July/August 2006: 65
  • "A Snake in the Grass, Don’t Get Bitten By Code Section 409A," Martindale-Hubbell Counsel to Counsel Employee Benefits Email Alert, February 2006

Education

  • J.D., Indiana University Robert H. McKinney School of Law, Indianapolis, Indiana, 2004
    • Indiana Law Review, Notes Development Editor
  • B.A., cum laude, Taylor University, Upland, Indiana, 2001

Bar & Court Admissions

  • Indiana, 2004
  • Minnesota, 2013

Certifications

  • Legal Lean Sigma® White Belt

Practices

  • Employee Benefits and Executive Compensation
  • Labor and Employment
  • Employee Stock Ownership Plans
  • Securities
  • ESOP Finance and Lending
  • Fraternities and Sororities

Industries

  • Employee Stock Ownership Plans
  • Education and School Law

Beyond the Office

Travel icon

Travel

Family Time icon

Family Time

 

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