Biography
David Johanson is the Chair of Hawkins Parnell's national Employee Benefits & ERISA group and Partner-in-Charge of the firm's Napa office. He is the former Executive Chairman, President, and majority equity shareholder of Ricor Global Limited and previously led a private equity firm.
Drawing on 40 years as an advisor and litigator, Dave provides strategic and practical legal counsel on employee ownership, executive compensation, equity incentive plans, non-qualified deferred compensation, and employee stock ownership plans. He advises on mergers and acquisitions, tax planning, business succession, estate planning, shareholder disputes, and non-competition issues, among other corporate and ERISA-related matters.
Dave defends companies and executives in complex business, employment, and class action disputes in federal and state courts nationwide. He has represented clients before regulatory agencies such as the U.S. Department of Labor, Internal Revenue Service, and Equal Employment Opportunity Commission, handling tax controversies, felony criminal indictments, and diverse ownership and business dispute resolutions. He also routinely defends ERISA fiduciaries, plan sponsors, selling shareholders, and investment and valuation advisers in high-stakes litigation spanning ESOP valuation disputes, fiduciary responsibilities, disclosure obligations, and investment issues. In addition, Dave has argued cases before the U.S. Courts of Appeals for the Third, Fifth, Seventh, and Ninth Circuits and filed multiple petitions for writ of certiorari with the U.S. Supreme Court.
Nationally recognized for his expertise and leadership in the ESOP field, Dave leads an innovative team that has handled more than 750 ESOP transactions. He is a former member of The ESOP Association's Board of Directors, served multiple terms as Chair of its Legislative and Regulatory Advisory Committee, and chaired the Advisory Committee Chairs Council. He also served over a decade as General Counsel to the National Center for Employee Ownership and on its Board of Directors.
Education
- University of Minnesota Law School (J.D., cum laude, 1986)
- University of Minnesota: Twin Cities (B.I.S., summa cum laude, 1983)
- Columbia College - Missouri (A.L.A., 1980)
Bar Admissions
Courts
- Supreme Court of the United States
- U.S. Court of Appeals for the Third Circuit
- U.S. Court of Appeals for the Fifth Circuit
- U.S. Court of Appeals for the Seventh Circuit
- U.S. Court of Appeals for the Eighth Circuit
- U.S. Court of Appeals for the Ninth Circuit
- U.S. Court of Appeals for the Eleventh Circuit
- U.S. District Court for the Eastern District of Wisconsin
- U.S. District Court for the Western District of Wisconsin
- U.S. District Court for the Central District of California
- U.S. District Court for the Eastern District of California
- U.S. District Court for the Northern District of California
- U.S. District Court for the District of Colorado
- U.S. District Court for the Northern District of Indiana
- U.S. District Court for the District of Maryland
- U.S. District Court for the District of Minnesota
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the Southern District of New York
- U.S. District Court for the Northern District of Texas
Dispute Resolution Training
- Mediating Commercial & Litigated Cases, American Institute of Mediation (2017)
- Advanced Mediation Practice, Strauss Institute for Dispute Resolution, Pepperdine University School of Law and Vermont Law School (2011)
- Court-Based Mediation of Family Law Matters, Strauss Institute for Dispute Resolution, Pepperdine University School of Law and Vermont Law School (2010)
- Civil Harassment Training for Temporary Judges (2011)
- Unlawful Detainer Training for Temporary Judges (2009-present)
- Family Law Training for Temporary Judges (2010)
- Mandatory Settlement Conferences for California Superior Court, County of Orange
Professional Affiliations
- Association of Defense Trial Attorneys
- The ESOP Association
- The National Center for Employee Ownership
- Rocky Mountain Employee Ownership Center
- American Bar Association
- Southern California Mediation Association
- Santa Monica Bar Association
- Panel Chair, Arbitration
- Beverly Hills Bar Association
- Panel Chair, Arbitration
- State Bar of California
- District of Columbia Bar
- Maryland State Bar Association
- Minnesota State Bar Association
- New York State Bar Association
- State Bar of Texas
Honors
- Fellow, American Bar Foundation
- Top 10 ESOP Services Company, Manage HR (2023)
- Bar Register of Preeminent Lawyers by Martindale-Hubbell
- Executive Compensation and Equity Incentivization Lawyer of the Year, California, Acquisition International (2019)
- Marquis Who's Who Albert Nelson Marquis Lifetime Achievement Award (2017)
- Continental Who’s Who in Law (2016)
- AV Preeminent® Peer Review Rated by Martindale-Hubbell®
- Lawyers of Distinction
Charitable & Civic Involvement
- Temporary Judge on a pro bono basis for the Los Angeles and Orange County Superior Courts
- Driven Campaign Steering Committee, University of Minnesota Law School
Presentations
- "Structuring M&A and Private Equity Sales Involving ESOPs," Strafford Publications, Webinar (February 2025)
- "Exploring Emerging ERISA Litigation Trends," The Knowledge Group, Webinar (April 2024)
- "Structuring M&A and Private Equity Sales Involving ESOPs," Strafford Publications, Webinar (February 2024)
- "ESOP Litigation: Recent Cases, Legal Theories, Prohibited Transactions, Disputes Involving Service Providers," Strafford Publications, Webinar (November 2023)
- "ESOPs as an Alternative Business Succession Structure," Quimbee, Webinar (October 2023)
- "ERISA" Defense Strategies to DOL Litigation and Investigations," The Knowledge Group, Webinar (October 2023)
- “Understanding Limits and Exceptions to Various Types of Privileges in Court of Law,” MyLawCLE, Webinar (December 2022)
- “ERISA’s Fiduciary Duties: Recent and Significant Court Decisions,” The Knowledge Group, Webinar (December 2022)
- “Mattson ESOP 101 Education,” Hawkins Parnell & Young, Webinar (November 2022)
- “Privilege Objections to Discovery: Leveraging Exceptions to Attorney-Client and Other Privileges,” Strafford Publications, Webinar (November 2022)
- “An Anatomy of a U.S. Department of Labor Investigation and Related Litigation,” Quimbee Sellers International, LLC, Webinar (November 2022)
- “Asserting and Overcoming Privileges in Discovery: Strategies for Enforcing Overlooked Exceptions and Limitations,” Strafford Publications, Webinar (October 2022)
- “ERISA Class Action Developments: Unravel the Mysteries of Retirement Plan Mismanagement,” The Knowledge Group, Webinar (September 2022)
- “U.S. Department of Labor ESOP Investigations and Litigation: A Case Study,” Celesq Attorneys Ed Center and West LegalEd Center., Webinar, (September 2022)
- “ESOP Formation and Business Succession Planning,” Quimbee Sellers International, LLC, Webinar (July 2022)
- "ERISA Counsel and Attorney-Client Privilege: What You Don't Know About the Fiduciary Exception Could Hurt You," Stafford, Webinar (February 2022)
- "An Anatomy of a U.S. Department of Labor ERISA Fiduciary Investigation and Ensuing Litigation," Celesq, Webinar (January 2022)
- "Understanding Exit Alternatives for a Family-Owned Business," Expert Webcast, Webinar (November 2021)
- “ESOPs as a Succession Planning Tool: Delivering Meaningful Benefits to Participants, Complying With ERISA Requirements," Strafford, Webinar (June 2021)
- "ESOP Formation: Current Approaches to Business Succession Planning in the COVID-19 Era," Lexology, Webinar (March 2021)
- "ESOP Formation Post-COVID-19: Current Approaches to Business Succession Planning," Webinar (January 2021)
- "ERISA Litigation: Navigating Through Complexities," Webinar (June 2020)
- "Business Succession Planning with a Focus on Employee Stock Ownership Plans (ESOPs) and Related Transactions," West/Thomson Reuters, Webinar (May 2020)
- "Employee Stock Ownership Plans: Tax, Valuation and Legal Considerations for 2019," Webinar (September 2019)
- "Business Succession through Employee Stock Ownership Plans," Minneapolis, MN (July 2019)
- "ERISA Litigation Damages and Remedies: Principles, Methods and Best Practices," Webinar (May 2019)
- "Maximizing Proceeds in Private Company Exits: ESOPs and Other Alternatives," Webinar (May 2019)
- "Structuring Options for ESOP Transactions: Advanced Techniques for ERISA Counsel and Plan Sponsors," Webinar (February 2019)
- "Maximizing Proceeds in Private Company Exits: ESOPs and Other Alternatives," Webinar (February 2019)
- "Business Succession Planning with a Focus on Employee Stock Ownership Plans (ESOPs)," Atlanta, GA (January 2019)
- “Structuring Options for ESOP Transactions: Advanced Techniques for ERISA Counsel and Plan Sponsors,” Strafford, Webinar (September 2018)
- “Structuring M&A and Private Equity Sales Involving Employee Stock Ownership Plans,” Strafford, Webinar (June 2018)
- "Managing Different Shareholder Constituencies in the Private Company Sale," Expert Webcast, Webinar (January 2018)
- "Business Succession Planning involving Employee Stock Ownership Plans (ESOPs)," Save Me the Money Summit in Honolulu, Honolulu, Hawaii (October 2017)
- "Business Succession Planning involving Employee Stock Ownership Plans (ESOPs)," Save Me the Money Summit in Kihei, Kihei, Hawaii (October 2017)
- "2017 Significant Developments in Employee Stock Ownership Plan Explored!" The Knowledge Group, Webinar (September 2017)
- "ESOPs, a Sale Alternative for a Middle-Market Company," Expert Webcast, Webinar (June 2017)
- "Preparing to Make the Transition to Employee Ownership," Rocky Mountain Employee Ownership Center, Denver, Colorado (April 2017)
- "The DOL’s Fiduciary Rule: How Prepared Are You?" The Knowledge Group, Webinar (February 2017)
- "Structuring M&A and Private Equity Sales Involving ESOPs: Alternative Strategy in a Down Market," Strafford, Webinar (November 2016)
- "Introduction to ESOPs – Preparing for Strong Employee Stock Ownership Plans," Bloomberg BNA, New York City, New York (September 2016)
- “ERISA and Employment Litigation: Hot Topics, Developments and Beyond,” In-house CLE Series, Schaumberg, Illinois (June 2016)
- “Hot Topics in ERISA Litigation Developments in 2016 and Beyond,” The Knowledge Group, Webinar (April 2016)
- “M&A Update: ESOP Financing as a Viable Exit Strategy,” The Knowledge Group, Webinar (March 2016)
- “Does Your ESOP Plan Support Your Business Plan?” Ohio Employee Ownership Center, Webinar (March 2016)
- "Intro to ESOPs and Related ERISA Litigation," Texas Lawyer's In-House Counsel Summit, Dallas, Texas (February 2016)
- "Is an ESOP Right for Your Company? How Do You Know? What Should You Know?," Taking Stock of ESOPs, Bloomberg BNA, San Francisco, California (December 2015)
- "Intro to ESOPs and Related ERISA Litigation," Texas Lawyer's In-House Counsel Summit, Dallas, Texas (September 2015)
- “Employee Stock Ownership Plans (ESOPs): Pros and Cons,” The Knowledge Group, Webinar (July 2015)
- "Mature ESOP Issues RM," 29th Annual Ohio Employee Ownership Conference, Akron, Ohio (April 2015)
- “Using ESOPs to Structure an Acquisition,” National Center for Employee Ownership, Webinar (June 2013)
- “Is an ESOP Right for You?” National Center for Employee Ownership, Webinar (April 2013)
- “ESOP Overview,” National Center for Employee Ownership, Webinar (December 2012)
- “Using ESOPs as an Acquisition Strategy,” National Center for Employee Ownership, Webinar (June 2012)