Simon Dawson v. Brookfield Asset Management LLC, et al
| SIMON DAWSON, individually and as a representative of a Class of Participants and Beneficiaries on behalf of the Brookfield 401(k) Savings Plan |
| BROOKFIELD ASSET MANAGEMENT LLC and BROOKFIELD 401K SAVINGS PLAN INVESTMENT COMMITTEE |
| 26-3370 |
| April 27, 2026 |
| U.S. Court of Appeals, Sixth Circuit |
| Labor: E.R.I.S.A. |
Docket Report
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This docket was last retrieved on June 9, 2026. A more recent docket listing may be available from PACER.
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| Filing 22 RULING LETTER SENT resetting briefing schedule: appellant brief now due 07/22/2026. appellee brief now due 08/21/2026; granting 30-day motion to extend time to file brief [ # 21 ] filed by Mr. John J. Nestico.. (MRL) [Entered: 06/09/2026 02:05 PM] |
| Filing 21 MOTION filed by Mr. John J. Nestico for Ms. Simon Dawson to extend time to file brief. Certificate of Service: 06/09/2026. [26-3370] (JJN) [Entered: 06/09/2026 01:43 PM] |
| Filing 20 ***DOCUMENT LOCKED COUNSEL INSTRUCTED TO REFILE AS A MOTION FOR EXTENSION OF TIME TO FILE BRIEF***MOTION filed by Mr. John J. Nestico for Ms. Simon Dawson to extend time OF BRIEFING SCHEDULE Certificate of Service: 06/05/2026. [26-3370]--[Edited 06/08/2026 by MRL] (JJN) [Entered: 06/05/2026 06:04 PM] |
| Filing 19 APPEARANCE filed for Appellant Ms. Simon Dawson by Elizabeth Hopkins. Certificate of Service: 06/01/2026. [26-3370] (EH) [Entered: 06/01/2026 06:30 PM] |
| Filing 18 Mediation Office is no longer involved in this appeal. (MLB) [Entered: 05/29/2026 09:33 AM] |
| Filing 17 Letter sent by Mediation Office REGARDING MEDIATION: The Mediation Conference scheduled for 05/29/2026 is hereby canceled. (LMR) [Entered: 05/28/2026 03:38 PM] |
| Filing 16 APPEARANCE filed for Appellant Ms. Simon Dawson by John J. Nestico. Certificate of Service: 05/27/2026. [26-3370] (JJN) [Entered: 05/27/2026 04:52 PM] |
| Filing 15 VIDEO CONFERENCE: The Mediation conference has been rescheduled for 05/29/2026 at 10:30 AM (ET) with John A. Minter. [Please open notice for important details.] (LMR) [Entered: 05/27/2026 01:58 PM] |
| Filing 14 NOTIFICATION filed by Mr. Robert R. Sparks for Ms. Simon Dawson regarding Notice of Withdraw of Counsel for Appellant. Certificate of Service: 05/26/2026. [26-3370] (RRS) [Entered: 05/26/2026 03:00 PM] |
| Filing 13 APPEARANCE filed for Appellees Brookfield Asset Management LLC and Brookfield 401K Savings Plan Investment Committee by Katherine Stallings Bailey. Certificate of Service: 05/12/2026. [26-3370] (KSB) [Entered: 05/12/2026 05:55 PM] |
| Filing 12 BRIEFING LETTER SENT setting briefing schedule: appellant brief due 06/22/2026;. appellee brief due 07/21/2026; (MRL) [Entered: 05/12/2026 10:51 AM] |
| Filing 11 APPEARANCE filed for Appellant Ms. Simon Dawson by Robert R. Sparks. Certificate of Service: 05/12/2026. [26-3370] (RRS) [Entered: 05/12/2026 10:47 AM] |
| Filing 10 TRANSCRIPT ORDER filed - no hearings held in District Court. Filed by Mr. Robert R. Sparks for Ms. Simon Dawson. Certificate of Service: 05/11/2026. [26-3370] (RRS) [Entered: 05/11/2026 10:52 PM] |
| Filing 9 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: Robert R. Sparks ; Ms. Simon Dawson makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? NO 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/11/2026. [26-3370] (RRS) [Entered: 05/11/2026 10:50 PM] |
| Filing 8 CIVIL APPEAL STATEMENT OF PARTIES AND ISSUES filed by Attorney Mr. Robert R. Sparks for Appellant Ms. Simon Dawson. Is this case a cross-appeal? No ; Has this case or a related one been before this court previously? No ; Please identify the party(ies) the appeal is being taken against: Ms. Simon Dawson ; Issues: 1. Whether 401(k) plan participants plausibly stated a claim for fiduciary breach under ERISA through allegations that the plan fiduciaries acted imprudently in maintaining the American Century Target Date Funds as the plan's default investment option during a lengthy period of: (1) consistent underperformance compared to the plan's own specified benchmarks; (2) consistent underperformance relative to numerous other comparable target date funds; (3) high turnover rates with respect to the American Century Target Date Funds' underlying investments; and (4) a steady loss of market share by the American Century Target Date Funds.2. Whether the district court erred in concluding that 3-5 years of underperformance in the range of under just under 1% to 4% annually was immaterial and thus insufficient to state a claim for imprudence. 3. Whether the district court erred in granting the motion to dismiss the derivative failure to monitor claim. . Certificate of Service: 05/11/2026. [26-3370] (RRS) [Entered: 05/11/2026 10:47 PM] |
| Filing 7 APPEARANCE filed for Appellant Ms. Simon Dawson by Ori Edelstein. Certificate of Service: 05/11/2026. [26-3370] (OE) [Entered: 05/11/2026 07:14 PM] |
| Filing 6 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: Aviva Grumet-Morris ; Brookfield Asset Management LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? The sole member of Brookfield Asset Management LLC is Brookfield US Inc.; Brookfield US Inc. is, in turn, a subsidiary of Brookfield US Holdings Inc.; Brookfield US Holdings Inc. is, in turn, a subsidiary of Brookfield Asset Management ULC; Brookfield Asset Management ULC is, in turn, a subsidiary of Brookfield Asset Management Ltd. (a publicly owned corporation); and Brookfield Asset Management Ltd. is, in turn, a subsidiary of Brookfield Corporation (a publicly owned corporation). 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/11/2026. [26-3370] (AG) [Entered: 05/11/2026 05:54 PM] |
| Filing 5 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: Aviva Grumet-Morris ; Brookfield 401K Savings Plan Investment Committee makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? NO 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/11/2026. [26-3370] (AG) [Entered: 05/11/2026 05:41 PM] |
| Filing 4 APPEARANCE filed for Appellees Brookfield 401K Savings Plan Investment Committee and Brookfield Asset Management LLC by Johanna Fabrizio Parker. Certificate of Service: 05/11/2026. [26-3370] (JFP) [Entered: 05/11/2026 04:08 PM] |
| Filing 3 APPEARANCE filed for Appellees Brookfield Asset Management LLC and Brookfield 401K Savings Plan Investment Committee by Aviva Grumet-Morris. Certificate of Service: 05/11/2026. [26-3370] (AG) [Entered: 05/11/2026 02:32 PM] |
| Filing 2 MEDIATION OFFICE is involved in this appeal. VIDEO CONFERENCE: A Mediation conference has been scheduled for 05/29/2026 at 9:30 AM (ET) with John A. Minter. [Please open notice for important details and deadlines.] (LMR) [Entered: 04/28/2026 02:23 PM] |
| Filing 1 Civil Case Docketed. Notice filed by Appellant Ms. Simon Dawson. Transcript needed: n. (MRL) [Entered: 04/27/2026 06:51 PM] |
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| Plaintiff: SIMON DAWSON, individually and as a representative of a Class of Participants and Beneficiaries on behalf of the Brookfield 401(k) Savings Plan | |
| Represented By: | Elizabeth Hopkins |
| Represented By: | John J. Nestico |
| Represented By: | Ori Edelstein |
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| Defendant: BROOKFIELD ASSET MANAGEMENT LLC | |
| Represented By: | Johanna Fabrizio Parker |
| Represented By: | Katherine Stallings Bailey |
| Represented By: | Aviva Grumet-Morris |
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| Defendant: BROOKFIELD 401K SAVINGS PLAN INVESTMENT COMMITTEE | |
| Represented By: | Johanna Fabrizio Parker |
| Represented By: | Katherine Stallings Bailey |
| Represented By: | Aviva Grumet-Morris |
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