Employee Stock Ownership Plans (ESOPs)


The structure of an Employee Stock Ownership Plan (ESOP) can directly impact a company's bottom line. Waller recognizes that an ESOP (leveraged or non-leveraged) can be one of the more creative ways to re-capitalize a business and transfer ownership on a tax-preferred basis.

We represent ESOP fiduciaries, plan sponsors, shareholders and lenders in all aspects of ESOP transactions and administration, including:

  • ESOP design
  • ESOP litigation and investigations conducted by the IRS and Department of Labor
  • ERISA compliance and administration
  • Federal and state securities law compliance
  • Fiduciary responsibilities
  • Leveraged and non-leveraged transactions

Committed to staying abreast of current trends in legal, financial, and other ESOP developments, Waller attorneys are active members of the ESOP Association. We also maintain relationships with key service providers in the ESOP industry, including appraisal firms, financial advisors, ESOP administration firms, fiduciaries, and legal advisors located across the U.S.

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