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Business Succession Planning with a Focus on Employee Stock Ownership Plans (ESOPs) and Related Transactions



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Description: Presenter Bio:
 
Stefan Whitwell - As Co-Founder and Chief Investment Officer for National Wealth Partners, Stefan leads the investment practice for the Firm. He is also a sought-after advisor and business funding expert serving difference makers at the intersection of health, wealth and purpose.
 
Stefan is passionate about finding ways to create value for our clients, our team and our profession.  Working hand in hand with the team, he is constantly exploring how to better serve business owners and executives through the use of unusual, direct and heartfelt questions about deeper life needs and the usual set of advanced tools around tax planning, investing, exit/transition planning, asset protection, estate planning and venture philanthropy.
 
Stefan started his career working alongside some of the most globally respected bankers at James D. Wolfensohn, Inc., Goldman Sachs and Credit Suisse First Boston.  He has worked in New York City, London, Hong Kong and Tokyo and has a first-hand understanding of global markets and multi-cultural work environments.
 
Stefan graduated from the Wharton School of Business at the University of Pennsylvania and subsequently earned the Chartered Financial Analyst designation and Certificate in Investment Performance Measurement, both from the CFA Institute where he serves on global Educational Advisory Committee.  In addition, Stefan serves on the Long Center Corporate Advisory Board, the Baylor Scott & White - Development Advisory Board and was previously a Social Venture Partner at Mission Capital.
 
Stefan and his wife Rachel live in Austin, Texas with their rescue German Shepherd named Amber.  He is the proud father of 3 children with whom he enjoys playing and spending time outdoors.  In addition, he is a purple-belt in Brazilian Jiu-Jitsu, a black-belt in Hakko-Ryu Jiu-Jitsu and a long-time patron of the arts and has been playing violin for 40 years.
 
Stephen Wilkes, a partner in the firm, heads the firm's Investment Management Law practice. He also is a Practice Group leader for the firm’s ERISA Fiduciary Compliance and Independent Fiduciary practices.  Steve advises a national client base of mutual funds, CIFs, private funds, registered investment advisers, insurance companies, broker dealers, wealth management firms, banks, trust companies, third-party platform providers, Taft Hartley Funds  and plan sponsors on ERISA, tax, and related securities law issues. Stephen counsels clients regarding ERISA fiduciary and prohibited transaction issues, investment matters, alternative investments, securities law issues, federal tax issues, and the employee benefits aspects of bankruptcy and related financial restructurings, reorganizations and liquidations.  He interacts  with regulatory agencies and Congressional staff on legislative and regulatory issues involving the DOL, SEC, IRS, PBGC and OCC.
 
Stephen has extensive experience in handling audits by the Department of Labor, the IRS, and the United States’ Security and Exchange Commission. He gives advice and counseling with respect to retirement plan services agreements, investment management agreements, DOL regulations, SEC regulations, federal legislative activity, qualified employee pension plans, ERISA litigation, Collective Investment Funds, off-shore investment advisers, Sales and Marketing Distribution Agreements and Wrap-Fee Programs. Stephen has also worked closely with his clients regarding structure among broker-dealer firms and platform provider firms for product distribution and preparing non-discretionary or discretionary advisory agreements, Form ADV Part 2, regulatory disclosures and filings, marketing materials, prospectus, revenue sharing, best investment management practices, CIF advisory and sub-advisory agreements, selling and administrative services agreements, distribution agreements, vendor agreements, compliance manuals and WSP’s. Stephen has worked with various parties to Chapter 11 bankruptcy proceedings and other financial reorganization and restructuring matters on ERISA, pension plan, and related employee benefit matters and claims.
 
Prior to working at The Wagner Law Group, Stephen worked as an attorney in a San Francisco law firm, as senior counsel at Financial Engines, Inc. in Palo Alto, and at Merrill Lynch in San Francisco in the fields of ERISA, Securities, and retirement/compensation services. Additionally, Stephen founded and headed his own firm specializing in the area of ERISA.
 
Stephen’s experience also includes partner, associate, general counsel, and assistant general counsel positions at The LTV Corporation (NYSE) in Cleveland, Merchants Suisse Inc. in New York, New York, Hughes and Luce in Dallas, Winstead, Sechrest & Minick in Dallas, Texas, and at Gordon Hurtwitz in New York, New York.
 
David R. Johanson is Partner-in-Charge of the Napa office of Hawkins Parnell Thackston & Young LLP. He also has offices in San Francisco, Los Angeles, and New York to cover his national practice.
 
Mr. Johanson assists clients in general corporate matters and in employee ownership, benefit, ERISA, and related business matters, with an emphasis on executive compensation, equity incentive plans, non-qualified deferred compensation, employee stock ownership plans (ESOPs), ESOP transactions, mergers and acquisitions (and related tax planning), and business succession and estate planning. Mr. Johanson has served as outside general counsel to numerous corporate clients over the past 32 years. Mr. Johanson also frequently appears on behalf of clients in business and employment-oriented defense litigation in state and federal courts throughout the country, before regulatory agencies (e.g., U.S. Department of Labor, California Labor Commissioner, and the U.S. Equal Employment Opportunity Commission), in tax controversies before the Internal Revenue Service and comparable state regulatory agencies, against felony criminal indictments in U.S. Federal Court, and in dispute resolutions of various kinds. Mr. Johanson represents corporations in shareholder and non-competition disputes. Mr. Johanson is a member of the Southern California Mediation Association and a frequent Lecturer for the University of Southern California Mediation Clinic. Mr. Johanson has actively served as a Temporary Judge on a pro bono basis for the Los Angeles County Superior Courts since October of 2009.
 
Mr. Johanson has defended ERISA fiduciaries, plan sponsors, selling shareholders, and investment advisers in ERISA litigation matters involving ESOPs and business transactions in federal and state courts throughout the country in a wide range of controversies covering ERISA fiduciary responsibilities, ESOP valuation disputes, disclosure obligations, investment issues, and tax matters. He has extensive experience in negotiating ESOP, ERISA, and other issues with government regulatory agencies and in representing ERISA fiduciaries in litigation.
 
Recognized nationally for his experience and expertise in the ESOP and executive compensation field, Mr. Johanson is a past chair (1993-1995 and 2005-2007) of the legislative and regulatory advisory committee of The ESOP Association. He also is a past chair of The ESOP Association’s advisory committee chairs council and is a former member of its board of directors. Mr. Johanson was honored at the 17th annual conference of The ESOP Association as the outstanding committee chair for 1993-94. Mr. Johanson served for more than ten years as General Counsel to The National Center for Employee Ownership and on its board of directors.
 
Program Description:
 
Hawkins Parnell & Young, National Wealth Partners and Wagner Law Group will host a discussion regarding business succession planning with a focus on ESOPs. Our panel of experts will provide an overview of benefits and considerations to evaluate if an ESOP is a good fit for your company.
 
Key topics include:
 
  • Tax incentives for the company and the seller(s)
  • How a typical ESOP transaction is structured
  • Profile of an Ideal ESOP Candidate
  • How Does an ESOP Work?
  • How to evaluate whether an ESOP is the correct structure for your company’s succession plan, including valuation, financing, and day-to-day management considerations



Practice Areas: Business Organizations & Contracts
Online Media Type: Audio
Production Date: 05/26/2020
Level: Intermediate
Category: Standard
Duration: 1 Hours, 23 Minutes
Online Format: On Demand

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Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.

If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance.  Credit totals for other formats are for complete programs.  Partial credit is not available for any online or downloadable format. 

 

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Accreditation:
AK, AL, AR, AZ, CA, CEU, CO, CT, FL, GA, GU, HI, IL-EXPER, IL-NEWADMIT, IN, ME, MO, MS, MT, NC, ND, NH, NJ, NV, NY-EXPER, NY-TRANS, OK, ON, PA, PR, QC, TN, UK-BSB, UK-SRA, UT, VI, VT, WI, WV
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Total Credits: 1.25
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Status: Reciprocal Credit Available
Expiration: 05/25/2023
Training Type: Online

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Speakers:
Stephen P. Wilkes - The Wagner Group, San Francisco
David Johanson - Hawkins Parnell Thackston & Young LLP
Stefan Whitwell - National Wealth Partners, LLC
This product is designed to provide information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.


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