Curtis Lee v. Ing Groep, N.V.

Curtis Lee is a former employee of ING Investment Management, LLC. Through his employment, Lee participated in a long term disability plan that is governed by the Employee Retirement Income Security Act of 1974. See 29 U.S.C. § 1001 et seq. ING North America Insurance Corporation was the plan administrator for this long term disability plan. Lee applied for long term disability benefits under the plan, which he received for a while, but then his benefits were terminated. Lee filed a lawsuit against ING Investment Management, ING North America, and others, seeking inter alia, statutory penalties against ING North America for failing to timely produce documents he had requested. See 29 U.S.C. § 1132 (c)(1). The district court granted summary judgment to Lee on this claim and imposed a penalty of $27,475. Lee appealed other aspects of the district court’s decision, and ING North America cross-appealed on this issue. We have jurisdiction under 28 U.S.C. § 1291 . We affirm in part, reverse in part, vacate the penalty award, and remand.

I.

On January 20, 2010, ReliaStar Life Insurance Company, the claims administrator for Lee’s long term disability plan, indicated that…