Seminar Description

Based on input obtained directly from the Department of Labor, this presentation will allow participants to understand the many mechanisms used to determine which Plans are selected for inspection or audit.  This seminar will help participants to reduce the risk of DOL inspection or audit of the plan(s) for which they have fiduciary responsibility and/or oversight.  While some triggers are unavoidable and cannot be controlled by plan sponsors, many other triggers are avoidable with a certain amount of knowledge and diligence. 

Who is this for?

Attendees will include HR Managers, HR Executives, HR Vice Presidents, CFOs, Retirement Plan fiduciaries, Retirement Plan Managers and Benefits Administrators for leading companies in the Orange County area.

Agenda

12:00 - 12:30 p.m. - Lunch & Registration

12:30 - 1:00 p.m. - Scott Young, Wright Ford Young & Co

1:00 - 1:30 p.m. - Mark Jones, Pillsbury Winthrop Shaw Pittman LLP

1:30 - 2:00 p.m. - Bret Dudl, 401(k) Advisors

Lunch will be provided.

Earn CE Credits by attending this seminar. Seating is limited to 20 organizations, so please RSVP immediately. 

Speaker Bios

J. Scott Young, Senior Audit Partner, Wright Ford Young & Co
J. Scott Young (Scott) has 31 years of experience in public accounting, including 19 at Wright Ford Young & Co. He and his wife, Sharee, have three children: Nicole, the 22-year-old equestrian; Shannon, the 18-year-old ballet dancer; and Zach, the 14-year-old hockey player. Scott’s passion is fly-fishing for wild trout in Northern California, especially on the Lower Sacramento and Fall Rivers. His personal dream is to fish all of the blue-ribbon waters in Montana, Idaho, Oregon, Utah, and Colorado.
 
Scott is committed to serving others and has held the positions of chairman, president, treasurer, and audit committee chairman for the Orange County Child Abuse Prevention Center, Calvary Christian School, and the American Cancer Society. He is also actively involved with Hope International by providing microfinance loans to individuals in the Democratic Republic of the Congo and the Dominican Republic.
 
Scott is a long time member of Convene – a group of Christian CEO’s and business owners committed to building better businesses, increasing leadership success and having a greater Kingdom impact.
 
After graduating with honors in accounting from Chapman University, Scott joined Arthur Andersen & Co in 1981.  His time at Andersen was divided between private and public companies in a variety of industries.  More than a decade later, he realized that his entrepreneurial quest could not be realized in a large, bureaucratic organization that served primarily SEC registrants so he joined Wright Ford Young & Co.  He has spent the last 19 years working with privately-held businesses almost exclusively.  His experience ranges from venture capital funded startup companies with no revenues to companies with hundreds of millions of dollars of annual revenues.  For his entire career, he has served clients in the manufacturing, distribution, real estate, construction, health care, professional service firm and leasing industries.  Scott is the senior audit partner in the Firm and leads the audit practice.  During his tenure, the Firm has undergone six mandatory peer reviews, passing each with an unqualified opinion and no comment letters.
 
Scott is an avid reader. Some of his favorite books include:
 How to Lead and Still Have a Life by H. Dale Burke
 The Poor Will Be Glad by Peter Greer and Phil Smith
 Halftime by Bob Buford
 Good to Great and How the Mighty Fall by Jim Collins
 The Definitive Drucker by Elizabeth Haas Edersheim
 Made to Stick by Chip and Dan Heath
 From Success to Significance by Lloyd Reeb

Mark Jones, Partner, Pillsbury Winthrop Shaw Pittman LLP
Mr. Jones' practice concentrates on qualified retirement plans, health and welfare plans, and
equity compensation arrangements for domestic and international clients.
Recent work has included representing purchasers and sellers in corporate transactions;
drafting equity compensation plans and related securities filings; negotiating plan funding
agreements for trustees and other financial institutions; providing ERISA counsel to lenders
and borrowers in the negotiation of credit agreements; advising employers defending actions
for fiduciary breach; terminating defined benefit plans and negotiating withdrawal liability for
multiemployer plans; counseling employers on the restructure of postretirement medical
plans; drafting privacy agreements and plan amendments for health plans and service
providers; and representing issuers of equity and debt securities in private securities
placements.
Education
J.D., Stanford Law School, 1999
A.B., Princeton University, 1994, summa cum laude, Phi Beta Kappa
Admissions
State of California
State of New York
Pillsbury Winthrop Shaw Pittman LLP | www.pillsburylaw.com | 2
Affiliations
American Bar Association, Section on Taxation, Committee on Employee Benefits, 1999 -
present
 Vice Chair, Subcommittee on International Benefits Issues, Committee on Employee
Benefits, 2012-present
 Young Lawyers Liaison, Subcommittee on International Benefits Issues, Committee on
Employee Benefits, 2007-2012
 John Nolan Fellow, 2004-2005
 Task Force on the Alternative Minimum Tax, 2003 - 2004
Pacific Coast Tax Exempt/Government Entities Council to the Internal Revenue Service,
2012-present

Bret Dudl, Senior Plan Consultant, 401(k) Advisors
Bret Dudl joined 401(k) Advisors in 2011 as a senior plan consultant. He is charged with developing the firm’s diverse client base while delivering superior consulting service in the areas of investment due diligence, fiduciary compliance and plan design.
Bret brings to the position over a decade of dynamic experience in the retirement planning arena. Previously, he served as the Vice President of Retirement Plans for Intercare Insurance Solutions in San Diego, where during an 18-month period he tripled the retirement plan assets to over $300 million.
Prior to joining Intercare, Bret owned and operated SFG Benefits Financial, a retirement benefit consulting firm. Earlier in his career, he was the managing director of retirement plans for Lincoln Financial Advisors, a fortune 100 company, where he oversaw nearly $2 billion in assets for the company’s San Diego office.
Bret graduated from the University of Colorado with a B.S. in Business. He is a member of the American Society of Pension Professional and Actuaries (ASPPA) and The Center for Due Diligence (CFDD). He has earned the Accredited Investment Fiduciary designation (AIF) from the Center for Fiduciary Studies. Additionally, Bret has passed the FINRA series 6, 63, & 7 exams.