Mergers and Acquisitions History

• Represented Stanwich Benefits Group in the sale of its business to Bank of New York
• Represented Alliance Benefits Group (VA) in the sale of their businesses to ABR (since acquired by Ceridian)
• Represented Western Pensions in the sale of their businesses to ABR (since acquired by Ceridian)
• Represented a DB firm in is sale to an investment management/administration firm
• Represented BCI, a leading provider of ESOP consulting and administrative services, in the sale of its business to The Principal Financial Group
• Advised several firms in various issues relating to the sale of their businesses
• Acted as consultant to investment banking firm on M&A action in which they were involve

Recent Mergers and Acquisitions Activity

• East Coast firm with solid client base of third party providers servicing smaller companies.
• West Coast firm with strong benefits consulting and administrative capabilities, including actuarial services. Client base is solidly middle market.
• Mid West firm specializing in providing personalized consulting and administrative services to small and mid-size companies.
• A large TPA firm in an acquisition/outsourcing acquisition program

Expert Witness

• Served as an expert witness in six cases involving allegations of excessive fees and fiduciary responsibility
• Served as an expert witness for plan sponsor in arbitration regarding settlement of mutual fund transaction

Business Valuations

• Valued a TPA firm for bank purposes
• Valued a TPA firm for possible sale of business
• Consulted on the valuation of an investment management/consulting firm

Other Activities

• Co-hosted quarterly meetings of The Bank Coalition Group, of which I was a co founder. This Group consisted of 22 of the employee benefit units of the largest banks in the country
• Consulted with and advised a Midwestern bank on the outsourcing of its recordkeeping business
• Co-sponsored a national seminar in Washington, DC on the problems of the mutual fund industry and the issues it raises for employee benefit service providers
• Consulted with a significant player in the business about its options for building its business through acquisitions
• Facilitated strategic planning session for the employee benefits group at a major Northeastern Bank