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James J. Thole, et al. v. U.S. Bank N.A., et al.

Paid petition · United States Court of Appeals for the Eighth Circuit, No. 16-1928 · judgment October 12, 2017

Decided · June 1, 2020
Pre-decision estimate: 6% cert probability (95% interval 3%–10%)

Before the decision, modestly above the 4.1% base rate. The model weighted this up for a circuit split argued in the petition, an Eighth Circuit decision below, and a dissent in the court below (flagged in the petition), and down for a business respondent.

Questions presented

This case presents two independent, substantial legal issues that have divided the courts of appeals regarding when an ERISA plan participant may invoke the remedies Congress explicitly authorized to police fiduciary misconduct and protect federally guaranteed benefits. Petitioners are participants in a pension plan managed by respondents. After respondents' fiduciary breaches caused $750 million in losses to the plan, petitioners sued, seeking injunctive relief under 29 U.S.C. 1132(a)(3) and restoration of the plan's losses under 29 U.S.C. 1132(a)(2). The Eighth Circuit affirmed dismissal of both claims because petitioners had not yet suffered any individual financial harm-the plan did not (yet) face a risk of default. In so holding, the Eighth Circuit departed from holdings of other circuits under both Sections 1132(a)(3) and 1132(a)(2), and rejected the long-held position of the Department of Labor, which has repeatedly urged the courts of appeals to let these claims proceed. The questions presented are:

  1. May an ERISA plan participant or beneficiary seek injunctive relief against fiduciary misconduct under 29 U.S.C. 1132(a)(3) without demonstrating individual financial loss or the imminent risk thereof?

  2. May an ERISA plan participant or beneficiary seek restoration of plan losses caused by fiduciary breach under 29 U.S.C. 1132(a)(2) without demonstrating individual financial loss or the imminent risk thereof?

  3. Added by the Court: Whether Petitioners have demonstrated Article III standing.

Counsel of record

For petitioner
Peter K. Stris
Stris and Maher LLP

For respondent
Joseph Russell Palmore
Morrison & Foerster LLP

Case

Conference history
Distributed for 3 conferences

Amicus briefs
1 cert-stage · 9 merits
(6 supporting pet./neither, 3 respondent)

Argument & decision

Argued January 13, 2020 — Peter K. Stris · Joseph R. Palmore. Audio and transcript

Decided June 1, 2020. Opinion by Kavanaugh.

Proceedings

  1. Jul 06 2020
    JUDGMENT ISSUED.
  2. Jun 01 2020
    Adjudged to be AFFIRMED. Kavanaugh, J., delivered the opinion of the Court, in which Roberts, C. J., and Thomas, Alito, and Gorsuch, JJ., joined. Thomas, J., filed a concurring opinion, in which Gorsuch, J., joined. Sotomayor, J., filed a dissenting opinion, in which Ginsburg, Breyer, and Kagan, JJ., joined.
  3. May 18 2020
    Second amendment to Rule 29.6 Corporate Disclosure Statement filed. (Distributed)
  4. May 06 2020
    Amendment to Rule 29.6 Corporate Disclosure Statement filed by respondents. (Distributed)
  5. Jan 27 2020
    Record received from the U.S.D.C. District of Minnesota is electronic.
  6. Jan 13 2020
    Argued. For petitioners: Peter K. Stris, Los Angeles, Cal.; and Sopan Joshi, Assistant to the Solicitor General, Department of Justice, Washington, D. C. (for United States, as amicus curiae.) For respondents: Joseph R. Palmore, Washington, D. C.
  7. Dec 12 2019
    Reply of petitioners James J. Thole, et al. filed. (Distributed)
  8. Dec 12 2019
    Record received from the U.S.C.A. 8th Circuit. (1 Box)
  9. Dec 09 2019
    Motion of the Solicitor General for leave to participate in oral argument as amicus curiae and for divided argument GRANTED.
  10. Dec 03 2019
    Record requested from the U.S.C.A. 8th Circuit.
  11. Nov 26 2019
    CIRCULATED
  12. Nov 19 2019
    Brief amicus curiae of Washington Legal Foundatoin filed.
  13. Nov 19 2019
    Brief amici curiae of The Chamber of Commerce of the United States of America, The American Benefits Council, and The ERISA Industry Committee filed.
  14. Nov 18 2019
    Motion of the Solicitor General for leave to participate in oral argument as amicus curiae and for divided argument filed.
  15. Nov 18 2019
    Brief amicus curiae of New England Legal Foundation filed.
  16. Nov 12 2019
    Brief of respondents U.S. Bank, N.A., et al. filed.
  17. Nov 08 2019
    SET FOR ARGUMENT on Monday, January 13, 2020.
  18. Sep 18 2019
    Brief amicus curiae of United States filed.
  19. Sep 18 2019
    Brief amicus curiae of Pension Rights Center filed.
  20. Sep 18 2019
    Brief amicus curiae of National Association of Home Builders in support of neither party filed.
  21. Sep 18 2019
    Brief amici curiae of AARP and AARP Foundation filed.
  22. Sep 17 2019
    Brief amici curiae of Law Professors filed.
  23. Sep 17 2019
    Brief amicus curiae of Public Citizen filed.
  24. Sep 11 2019
    Joint appendix filed. (Statement of costs filed.)
  25. Sep 11 2019
    Brief of petitioners James J. Thole, et al. filed.
  26. Sep 04 2019
    Blanket Consent filed by Petitioners, James J. Thole, et al.
  27. Jul 16 2019
    Joint motion for an extension of time to file the briefs on the merits granted. The time to file the joint appendix and petitioners' brief on the merits is extended to and including September 11, 2019. The time to file respondents' brief on the merits is extended to and including November 12, 2019.
  28. Jul 03 2019
    Joint motion for an extension of time to file the briefs on the merits filed.
  29. Jun 28 2019
    Petition GRANTED. In addition to the questions presented by the petition, the parties are directed to brief and argue the following question: Whether petitioners have demonstrated Article III standing.
  30. Jun 26 2019
    DISTRIBUTED for Conference of 6/27/2019.
  31. Jun 04 2019
    DISTRIBUTED for Conference of 6/20/2019.
  32. Jun 04 2019
    Supplemental brief of respondents U.S. Bank, N.A., et al. filed. (Distributed)
  33. May 21 2019
    Brief amicus curiae of United States filed.
  34. Oct 01 2018
    The Solicitor General is invited to file a brief in this case expressing the views of the United States.
  35. Sep 05 2018
    DISTRIBUTED for Conference of 9/24/2018.
  36. Sep 05 2018
    Reply of petitioners James J. Thole, et al. filed. (Distributed)
  37. Aug 22 2018
    Brief of respondents U.S. Bank, N.A., et al. in opposition filed.
  38. Jul 17 2018
    Motion to extend the time to file a response is granted and the time is extended to and including August 27, 2018.
  39. Jul 13 2018
    Motion to extend the time to file a response from July 27, 2018 to August 27, 2018, submitted to The Clerk.
  40. Jun 22 2018
    Petition for a writ of certiorari filed. (Response due July 27, 2018)
  41. May 03 2018
    Application (17A1210) granted by Justice Gorsuch extending the time to file until June 22, 2018.
  42. May 01 2018
    Application (17A1210) to extend the time to file a petition for a writ of certiorari from May 23, 2018 to July 20, 2018, submitted to Justice Gorsuch.
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