ROZO v. PRINCIPAL LIFE INS. CO.

No. 18-3310.

949 F.3d 1071 (2020)

Frederick ROZO Plaintiff-Appellant v. PRINCIPAL LIFE INSURANCE COMPANY Defendant-Appellee Principal Financial Group, Inc. Defendant. American Council of Life Insurers; Chamber of Commerce of the United States of America; American Benefits Council Amici on Behalf of Appellee(s).

United States Court of Appeals, Eighth Circuit.

Filed: February 3, 2020.


Attorney(s) appearing for the Case

Counsel who presented argument on behalf of the appellant and appeared on the brief was Peter K. Stris , of Los Angeles, CA. The following attorney(s) also appeared on the appellant brief; Rachana A. Pathak , of Los Angeles, CA, Douglas D. Geyser , of Los Angeles, CA., John Stokes , of Los Angeles, CA, Todd Jackson of Berkeley, CA, Nina Wasow , of Berkeley, CA, Todd Schneider of Emeryville, CA, Mark Johnson , of Emeryville, CA, Jason Kim , of Emeryville, CA, John B. Goplerud , of West Des Moines, IA, Brandon M. Bohlman , of West Des Moines, IA, Garrett W. Wotkyns , of Scottsdale, AZ, Christopher T. Micheletti , of San Francisco, CA, Heather T. Rankie , of San Francisco, CA, Rory David Zamansky , of Minneapolis, MN.

Counsel who presented argument on behalf of the appellee and appeared on the brief was Robert N. Hochman , of Chicago, IL. The following attorney(s) also appeared on the appellee brief; Angel A. West , of Des Moines, IA., Joel S. Feldman , of Chicago, IL., Mark Bruce Blocker , of Chicago, IL., Caroline A. Wong , of Chicago, IL., Tara Amin , of Chicago, IL.

The following attorney(s) appeared on the amicus brief; Nancy G. Ross , of Chicago, IL., James Frederick Jorden , of Washington, DC., Waldemar Jacob Pflepsen, Jr. , of Washington, DC., Janet M. Jacobson , of Washington, DC., Steven P. Lehotsky , of Washington, DC., Michael A. Valerio , of Hartford, CT., Brian David Netter , of Washington, DC., Jed Wolf Glickstein , of Chicago, IL., Janet Galeria , of Washington, DC.

Before SMITH, Chief Judge, GRUENDER and BENTON, Circuit Judges.


Frederick Rozo invested in an Employee Retirement Income Security Act (ERISA) plan offered by Principal Life Insurance Company. The plan set a guaranteed rate of return every six months. Rozo alleges that Principal, a service provider to the plan, violated ERISA. The district court...

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