Supreme Court of the United States · Official docket →
April Hughes, et al. v. Northwestern University, et al.
Paid petition · United States Court of Appeals for the Seventh Circuit, No. 18-2569 · judgment March 25, 2020
Before the decision, modestly above the 4.1% base rate. The model weighted this up for counsel with five or more prior petitions here, a circuit split argued in the petition, and a petition filed soon after the judgment below.
Question presented
Under the Employee Retirement Income Security Act of 1974 ("ERISA"), 29 U.S.C. § 1104, a plan fiduciary is required to meet a standard of "prudence" in administering the plan holding the participant's retirement assets in a defined contribution plan. The Third and Eighth Circuits have held that a plan participant can adequately plead a breach of fiduciary duty by claiming that the retirement plan charged excessive fees when lower-cost alternatives existed. In the decision below, the Seventh Circuit held that virtually identical pleadings are insufficient to state a claim, because it is necessary to credit the defendant's explanation for not offering lower cost options for the retirement plan before allowing a well-pleaded complaint to proceed. The question presented is: Whether allegations that a defined-contribution retirement plan paid or charged its participants fees that substantially exceeded fees for alternative available investment products or services are sufficient to state a claim against plan fiduciaries for breach of the duty of prudence under ERISA, 29 U.S.C.§ 1104(a)(1)(B).
Counsel of record
For petitioner
David C. Frederick
Kellogg, Hansen, Todd, Figel & Frederick, P.L.L.C.
For respondent
Gregory George Garre
Latham & Watkins LLP
Case
Conference history
Distributed for 3 conferences
Amicus briefs
1 cert-stage · 13 merits
(6 supporting pet./neither, 7 respondent)
Argument & decision
Argued December 6, 2021 — David C. Frederick · Gregory G. Garre. Audio and transcript
Decided January 24, 2022. Opinion by Sotomayor.
Proceedings
- Feb 25 2022JUDGMENT ISSUED.
- Jan 24 2022Judgment VACATED and case REMANDED. Sotomayor, J., delivered the opinion for a unanimous Court. Barrett, J., took no part in the consideration or decision of this case.
- Dec 06 2021Argued. For petitioners: David C. Frederick, Washington, D. C.; and Michael R. Huston, Assistant to the Solicitor General, Department of Justice, Washington, D. C. (for United States, as amicus curiae.) For respondents: Gregory G. Garre, Washington, D. C.
- Nov 19 2021Reply of petitioners April Hughes, et al. filed. (Distributed)
- Nov 08 2021Motion of the Solicitor General for leave to participate in oral argument as amicus curiae, for divided argument, and for enlargement of time for oral argument GRANTED, and the time is allotted as follows: 20 minutes for petitioners, 15 minutes for the Solicitor General, and 35 minutes for respondents. Justice Barrett took no part in the consideration or decision of this motion.
- Oct 29 2021CIRCULATED
- Oct 28 2021Brief amici curiae of Chamber of Commerce of the United States of America, et al. filed. (Distributed)
- Oct 28 2021Brief amicus curiae of Investment Company Institute filed. (Distributed)
- Oct 28 2021Brief amici curiae of American Council on Education and 17 Other Higher Education Organizations filed. (Distributed)
- Oct 28 2021Brief amicus curiae of Committee on Investment of Employee Benefit Assets filed. (Distributed)
- Oct 28 2021Brief amicus curiae of Teachers Insurance and Annuity Association of America filed. (Distributed)
- Oct 28 2021Brief amicus curiae of American Benefits Council filed. (Distributed)
- Oct 27 2021Brief amicus curiae of Euclid Fiduciary filed. (Distributed)
- Oct 21 2021Brief of respondents Northwestern University, et al. filed.
- Oct 01 2021Motion of the Acting Solicitor General for leave to participate in oral argument as amicus curiae, for divided argument, and for enlargement of time for oral argument filed.
- Sep 27 2021Record requested from the U.S.C.A. 7th Circuit.
- Sep 27 2021Record received from the U.S.C.A. 7th Circuit is electronic and located on Pacer. Also received 1 Sealed document which is electronically filed.
- Sep 20 2021SET FOR ARGUMENT on Monday, December 6, 2021.
- Sep 10 2021Brief amici curiae of Investment Law Scholars filed.
- Sep 10 2021Brief amicus curiae of United States filed.
- Sep 10 2021Brief amicus curiae of Service Employees International Union filed.
- Sep 10 2021Brief amicus curiae of Samuel Halpern filed.
- Sep 10 2021Brief amici curiae of AARP, et al. filed.
- Sep 09 2021Brief amicus curiae of American Association for Justice filed.
- Sep 08 2021Blanket Consent filed by Respondent, Northwestern University, et al.
- Sep 03 2021Brief of petitioners April Hughes, et al. filed.
- Sep 03 2021Joint appendix filed. (Statement of costs filed)
- Aug 02 2021Blanket Consent filed by Petitioner, April Hughes, et al.
- Jul 28 2021Motion to extend the 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 3, 2021. The time to file respondents' brief on the merits is extended to and including October 21, 2021.
- Jul 22 2021Motion for an extension of time to file the briefs on the merits filed.
- Jul 02 2021Petition GRANTED. Justice Barrett took no part in the consideration or decision of this petition.
- Jul 01 2021DISTRIBUTED for Conference of 7/1/2021.
- Jun 10 2021Supplemental brief of petitioners April Hughes, et al. filed. (Distributed)
- Jun 08 2021DISTRIBUTED for Conference of 6/24/2021.
- Jun 08 2021Supplemental brief of respondents Northwestern University, et al. filed. (Distributed)
- May 25 2021Brief amicus curiae of United States filed.
- Oct 05 2020The Acting Solicitor General is invited to file a brief in this case expressing the views of the United States.
- Sep 09 2020DISTRIBUTED for Conference of 9/29/2020.
- Sep 09 2020Reply of petitioners April Hughes, et al. filed. (Distributed)
- Aug 24 2020Brief of respondents Northwestern University, et al. in opposition filed.
- Jul 14 2020Motion to extend the time to file a response is granted and the time is extended to and including August 24, 2020.
- Jul 13 2020Motion to extend the time to file a response from July 23, 2020 to August 24, 2020, submitted to The Clerk.
- Jun 19 2020Petition for a writ of certiorari filed. (Response due July 23, 2020)