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BROTHERSTON v. PUTNAM INVESTMENTS, LLC

No. 17-1711.

907 F.3d 17 (2018)

John BROTHERSTON, individually and as representative of a class of similarly situated persons, and on behalf of the Putnam Retirement Plan; Joan Glancy, individually and as representative of a class of similarly situated persons, and on behalf of the Putnam Retirement Plan, Plaintiffs, Appellants, v. PUTNAM INVESTMENTS, LLC; Putnam Benefits Oversight Committee; Putnam Benefits Investment Committee; Robert Reynolds; Putnam Investment Management LLC; Putnam Investor Services, Inc., Defendants, Appellees.

United States Court of Appeals, First Circuit.

October 15, 2018.

Attorney(s) appearing for the Case

James H. Kaster , with whom Nichols Kaster, PLLP, Paul J. Lukas , Kai H. Richter , Carl F. Engstrom , Jacob T. Schutz , and Eleanor E. Frisch were on brief, for appellants.

Mary Ellen Signorille , William Alvarado Rivera , and Matt Koski , on brief for amici curiae AARP, AARP Foundation, and National Employment Lawyers Association.

James R. Carroll , with whom Eben P. Colby , Michael S. Hines , Sarah L. Rosenbluth , and Skadden, Arps, Slate, Meagher & Flom LLP were on brief, for appellees.

William M. Jay , Jaime A. Santos , James O. Fleckner , Alison V. Douglass , Goodwin Procter LLP, Steven P. Lehotsky , Janet Galeria , Kevin Carroll , and Janet M. Jacobson , on brief for amici curiae Chamber of Commerce of the United States of America, American Benefits Council, and Securities Industry and Financial Markets Association.

Sarah M. Adams , Jon W. Breyfogle , Michael J. Prame , Groom Law Group, Chartered, Paul S. Stevens , Susan M. Olson , David M. Abbey , on brief for amicus curiae Investment Company Institute.

Before Torruella, Thompson, and Kayatta, Circuit Judges.

Plaintiffs John Brotherston and Joan Glancy are two former employees of Putnam Investments, LLC who participated in Putnam's defined-contribution 401(k) retirement plan (the "Plan"). They brought this lawsuit on behalf of a now-certified class of other participants in the Plan, and on behalf of the Plan itself pursuant to...

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