Date of Action: Sept. 22, 2016

Type of Action: Complaint

Name(s) of Defendants: Steven Keares Inc.
Harry Keares
Steven Keares Inc. 401(k) Retirement Plan

HARTFORD, Conn. – The U.S. Department of Labor has sued a Bridgeport nursing home and its chief officer alleging that they diverted millions of dollars from the company’s retirement plan improperly to a religious corporation and to themselves. 

Date of Action: Sept. 16, 2016

Type of Action: Complaint

Name of Defendants: Homestead Physicians P.A.
Lorn Leitman
Homestead Physicians P.A. 401(k) Plan

WASHINGTON – The U.S. Department of Labor has announced a two-month extension of the comment period on the Form 5500 Modernization Proposals.

Date of Action: Aug. 26, 2016

Type of Action: Filing of Complaint

Name(s) of Defendant: Christina Samone DeLaGarza, Mariah Industries Inc., Mariah Industries Inc. 401(k) Profit Sharing Plan.

WASHINGTON – In light of the devastation following recent storms and flooding in Louisiana, the U.S. Department of Labor’s Assistant Secretary of Labor for Employee Benefits Security Phyllis C. Borzi announced today an update on compliance with employee benefit plan rules for those adversely impacted in the state since Aug. 11, 2016.

Date of Action: Aug. 31, 2016

Type of Action: Consent order and judgment

Name(s) of Defendants: William P. Bowman

Date of Action: Aug. 29, 2016     

Type of Action: Default judgment

Name(s) of Defendant(s): Global Research Services LLC, Vice President of Finance Julie E. Garrett, and Global Research Services LLC 401(k) Plan

Date of Action: Aug. 11, 2016

Type of Action: Complaint

Name of Defendants: Direct HR Services Inc.
Commerce Benefits Group Agency Inc.
HealthSmart Benefit Solutions Inc.
Suzanne Burrow
Jason Syrek

WASHINGTON – One third of all workers do not have access to retirement savings plans through their employer. That’s why in every budget since taking office, President Obama has proposed federal legislation to automatically enroll workers in an Individual Retirement Account if they don’t have access to a workplace savings arrangement. In the absence of congressional action, several states have made strides in creating savings opportunities for residents.

Date of Action: Aug. 15, 2016

Type of Action: Complaint

Name(s) of Defendants: A. Kenneth Belanger
Jo-Ann Belanger
Belanger and Co.  Inc.

Allegations: After an investigation by the U.S. Department of Labor’s Employee Benefits Security Administration, the Secretary of Labor filed a complaint alleging that:

Date of Action: July 15, 2016

Type of Action: Default judgment

Name of Defendant(s): Sommet Group LLC
L. Brian Whitfield
D. Edwin Todd
Sommet Group LLC Employee Benefit Plan

Date of Action: Aug. 5, 2016

Type of Action: Consent order entered into court

Name(s) of Defendant(s): Howard C. Lapensohn

Allegations: An investigation conducted by the U.S. Department of Labor’s Employee Benefits Security Administration found:

WASHINGTON – The Advisory Council on Employee Welfare and Pension Benefit Plans, also known as the ERISA Advisory Council, will meet at U.S. Department of Labor headquarters Aug. 23-25, 2016 to hear testimony from invited witnesses and receive an update from the Employee Benefits Security Administration. The council has scheduled the EBSA update tentatively for the morning of Aug. 25.

LOS ANGELES – In a victory for employee whistleblowers, the U.S. Department of Labor has secured a decision from the U.S. District Court for the Central District of California in a case against a trustee and attorney for the Cement Masons Southern California Trust Funds.

Date of Action: July 26, 2016

Type of Action: Consent judgment and order

Defendant: Horizon NR LLC, Lance Sogan, Horizon NR Employee Savings Plan and Trust

Date of Action: July 26, 2016

Name(s) of Defendants: Donald Kann, Kann & Associates, Inc. doing business as Kann Partners, and Kann & Associates Inc., Kann Partners 401(k) plan.

Allegations: An investigation by the U.S. Department of Labor’s Employee Benefits Security Administration led the secretary of labor to file a complaint which alleges the defendants:

Date of Action: July 19, 2016

Type of Action: Consent judgment and order

Names of Defendants: “National Pension Plan,” also known as the International Association of Machinists’ National Pension Fund

Gary Allen, Thomas Connery, Philip Gruber, Warren Mart, Robert Martinez Jr.

Alfred Nelson, Robert Roach, Burton Trebour and Lynn Tucker

WASHINGTON – The U.S. Department of Labor’s Employee Benefits Security Administration is soliciting nominations to fill five, three-year vacancies on the Advisory Council on Employee Welfare and Pension Benefit Plans, also known as the ERISA Advisory Council. The deadline to submit nominations is Aug 1.

WASHINGTON – The U.S. Department of Labor’s Employee Benefits Security Administration, the Internal Revenue Service, and the Pension Benefit Guaranty Corporation are seeking public comments on proposed revisions to modernize and improve the Form 5500 Annual Return/Report filed by private-sector employee benefit plans.