
Kim Shaw Elliott
Partner
Practice Areas
- ERISA and Employee Benefits
- Executive Compensation
- Investment Management
- Trust & Estates
- Private Client
- Expert Witness
- Probate
- Retirement Plans
Biography
Publications & Media
Kim Shaw Elliott is a frequent speaker on employee benefits and securities-related topics.
- The SECURE Act and its Impact on Retirement Plans – Kimberly Shaw Elliott, The Wagner Law Group FREE live webinar, December 26, 2019, 1:00 – 2:00 PM (ET) – Recording available here – Recording available here – Powerpoint presentation available here
- Benefits Industry Newsmakers – BenefitsPro, October 29, 2019
- ERISA and Investment Management Law Attorney Kim Shaw Elliott Joins The Wagner Law Group’s St. Louis Office
- Fiduciary Education is Key for Plan-Sponsor Investment Committees – Investment News, September 2, 2017 (PDF Version)
Articles
- Treasury’s Record $4.3B Crypto Exchange Fine Adds to Pressure on Digital Assets – Chief Investment Officer, November 29, 2023 (PDF)
- Crypto Remains Massive Compliance Risk for Retirement Fiduciaries – PLANADVISER, November 27, 2023 (PDF)
- SEC Charges Against Kraken Identify Specific Tokens as Securities – PLANADVISER, November 22, 2023 (PDF)
- SEC Case Highlights Why Fiduciaries Should Be Cautious About Crypto – PLANSPONSOR, November 22, 2023 (PDF)
- DOL Drops ‘Bomb’ On Advisors Who Give Advice To IRA Owners – InsuranceNewsNet, October 22, 2021 (PDF)
- Benefits & Retirement Newsmakers – BenefitsPro, January 12, 2021 (PDF)
Articles Published
- Secure Act 2.0 Litany of Retirement Change Presents Employers Enhanced Retirement Opportunities for Employee – Co-author, Bloomberg Tax, Tax Management and Compensation Journal, Volume 52, No. 02, February 3, 2023
- If You Give Rollover Advice to IRA Owners Act Now: The Compliance Deadline Has Passed – Marcia S. Wagner and Kim Shaw Elliott, Investment & Wealth Institute, September/October 2022
- DOL Drops ‘Bomb’ On Advisors Who Give Advice To IRA Owners – InsuranceNewsNet, October 22, 2021
Television Appearances
- Rollovers In The Crosshairs – InusurnaceNews.net, December 1, 2021
Education
- Washington University School of Law, St. Louis, Missouri
- Juris Doctor - 1979
- Washington University School of Law, St. Louis, Missouri
- LL.M. - 1985
- Major: Taxation
- Southern Illinois University, Edwardsville
- B.S., Bachelor of Science - 1976
- Major: Mass Communications - Radio/TV
- Washington University in St. Louis - Olin Business School
- M.B.A. - 1996
Bar Admissions
- Illinois
- Missouri
- Florida
Professional Associations
- Securities Industry and Financial Markets Association, Compliance and Legal Division, Member
- Association of Corporate Counsel, President Emeritus
- Missouri Bar, Employee Benefits Committee, Former Chair
Law Alerts
The SEC Fires All Guns Against a Crypto Platform Plan Fiduciaries Should Take Note
By Kim Shaw Elliott The SEC announced November 20 that it has charged Payward Inc. and Payward Ventures, Inc. (together “Kraken”, an online crypto platform) with a litany of securities registration failures and other wrongdoing which took place since 2018. In a...
Secure Act 2.0 Brings a Litany of Retirement Changes
By Roberta Watson, Barry Salkin and Alex Olsen The SECURE Act 2.0 of 2022 (“SECURE 2.0”, or the “Act”) became law as part of the Consolidated Appropriations Act of 2023. SECURE 2.0 builds on the Setting Every Community Up for Retirement Enhancement Act of 2019 (i.e.,...
Massachusetts, Pennsylvania and New Jersey Taxpayers Beware
Massachusetts, Pennsylvania and New Jersey Taxpayers Beware: Don’t Let a Mismatch between Your State’s Tax Laws and the Federal Rules for Deducting Contributions Result in Overpaying Your State Tax on Retirement Distributions. Recordkeeping and Professional Advice...
SEC Extracts $96M Settlement from TIAA Subsidiary for Rollover Practices – This is Only the Beginning
The Securities and Exchange Commission (“SEC”) beat the Department of Labor (“DOL”) to the punch and announced a major settlement with a broker dealer arising from its rollover practices. In what is likely the first of many prosecutions to come, the SEC hit hard and...