United States Second Circuit

In a breach of fiduciary duty action brought under ERISA, district court judgment is affirmed in part and reversed in part where: 1) plaintiff failed to establish defendant's status as an ERISA fiduciary as he did not allege or introduce evidence demonstrating that defendant exercised authority or control over the management of ERISA plan assets; 2) plaintiff was not entitled to a hearing prior to the dismissal of its breach of fiduciary duty claim against defendant, as the record demonstrates that no hearing was necessary and plaintiff did not request one; and 3) the court erred in holding that defendant was not personally liable for certain dishonored checks under New York-s Uniform Commercial Code, as plaintiff established that the checks did not indicate that defendant signed them in a representative capacity and defendant presented no evidence of an understanding between the parties that he had signed them in a representative capacity.

Appellate Information

• Decided 08/11/2009
• Published 08/11/2009

Judges

• JOSÉ A. CABRANES, Circuit Judge:, Before:  CABRANES and WALLACE, Circuit Judges.

Court

• United States Second Circuit

Counsel

• For Appellant:
  
• James R. Grisi (Jani K. Rachelson, Robin H. Gise, of counsel, and Molly A. Brooks, on the brief), Cohen, Weiss and Simon LLP, for Appellant Gerald Finkel.