Kim Shaw Elliott
Kim Shaw Elliott
Partner
Practice Areas
- ERISA and Employee Benefits
- Executive Compensation
- Investment Management
- Trust & Estates
- Private Client
- Expert Witness
- Probate
- Retirement Plans
Biography
Kim Shaw Elliott is an ERISA investment lawyer, engaging in a multi-disciplinary practice helping clients successfully navigate the complex intersection of ERISA, securities law, broker-dealer regulation and tax regulation. Kim represents broker-dealers, investment advisors, insurance companies and other entities nationwide, with a focus on fiduciary responsibility and best practices. She brings a business leader's perspective to the practice of law, having served as an executive responsible for advisory services to retirement plans, as well as chief compliance officer. As general counsel of industry leading broker-dealer/ investment advisor firms, Kim navigated through extensive claims litigation, multi-state regulatory actions and errors and omissions disputes, and presented actionable plans and guidance for compliant sales, operations, product development and customer service.
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
- 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
- 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
- LL.M. - 1985
- Major: Taxation
- Washington University School of Law, St. Louis, Missouri
- Juris Doctor - 1979
- Washington University in St. Louis - Olin Business School
- M.B.A. - 1996
- Southern Illinois University, Edwardsville
- B.S., Bachelor of Science - 1976
- Major: Mass Communications - Radio/TV
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
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...