2012 San Francisco Mid-Sized Retirement & Healthcare Plan Management Conference

Sherwin S. Kaplan, J.D.
Counsel
Nixon Peabody LLP

Sherwin Kaplan serves as counsel at Nixon Peabody LLP, specializing in ERISA and employee benefits matters. Before entering private practice, Mr. Kaplan served as the deputy associate solicitor of the Plan Benefits Security Division of the U.S. Department of Labor, where he was involved in the administration of all ERISA-related enforcement, litigation and regulatory activity handled by the national office of the Solicitor of Labor. He has been involved with ERISA since 1976 and is a frequent speaker on ERISA subjects at bar association meetings, educational seminars and training programs. Mr. Kaplan has authored several articles on employee benefits and ERISA enforcement and is often quoted in national employee benefit plan journals and magazines. He has been elected a charter fellow of the American College of Employee Benefits Counsel and is former chair of the Employee Benefits Committee of the Labor and Employment Law Section of the District of Columbia Bar. Mr. Kaplan is a former co-chair of the Bureau of National Affairs’ (BNA) National ERISA Advisory Council, a member of the Advisory Board of BNA’s ERISA Compliance & Enforcement Library and former co-chair of the Department of Labor Subcommittee of the Government Affairs Committee of the American Society of Pension Professionals and Actuaries. Mr. Kaplan was selected for inclusion in Super Lawyers 2008 for the District of Columbia. He is a graduate of the University of Chicago and received a J.D. from the University of Chicago Law School.

Michael E. Falcone
Director of Eastern Region and Senior Plan Consultant
401(k) Advisors

Michael Falcone is a senior plan consultant and head of the East Coast office of 401(k) Advisors, which is currently based in West Chester, Pennsylvania. His primary responsibilities include developing new relationships for retirement plan business, as well as delivering consulting services as an account and project manager for new and existing retirement plan clients. Mr. Falcone has more than 25 years of experience assisting clients with the design, administration, funding and communication of their employee retirement benefit plans. Previously, he was a retirement consultant with Aon Consulting, where he worked with employers of various size and industry. Mr. Falcone graduated with a B.S. in mathematics from Drexel University. He holds the chartered financial consultant and chartered life underwriter designations from The American College. Mr. Falcone is an investment advisor representative and holds his Series 6, 63 and 65 licenses.

Tiffany N. Santos, J.D.
Partner
Trucker Huss

Tiffany Santos, a partner at Trucker Huss, primarily focuses on health and welfare plans and qualified retirement plans. Her extensive knowledge assists clients with administrative issues; plan, summary plan description and amendment preparation; IRS submissions; IRS and DOL investigations; and review of service provider agreements, including investment manager agreements. She also works with multi-employer and union-sponsored plans and trust fund administration. Ms. Santos frequently makes presentations on health plan matters, including HIPAA, COBRA and cafeteria plans. She is a member of the American Bar Association, the State Bar of California, the Bar Association of San Francisco, the Western Pension & Benefits Conference, the Asian American Bar Association and the Filipino Bar Association of Northern California. Ms. Santos received her B.A. in integrative biology from the University of California at Berkeley and her J.D. from the University of San Francisco Law School.

Stephen J. Smith
Vice President, Sales
Diversified

Stephen Smith is vice president of Corporate Plans Product Management and Sales for Diversified and has been with the firm since 1990. His responsibilities include 401(k) product development as well as management of the company’s sales staff in the Midwest, South and Southeast. Mr. Smith has more than 28 years of retirement plan experience covering all aspects of the pension market. He has led the sales and management responsibilities for Diversified on the West Coast as well as in the southern United States. Mr. Smith has been a featured speaker at many industry events, including The Center for Due Diligence and the American Society of Pension Professionals & Actuaries Programs. He has authored industry-related articles appearing in such publications as Employee Benefit News. Mr. Smith is a FINRA OSJ and registered representative. He earned his B.S. in personnel management from Millikin University.