Date of Action: Nov. 16, 2015

Type of Action: Complaint

Name(s) of Defendant(s): Ricardo Silva, Maryland Association of Correctional & Security Employees Inc., Charles Ezrine, State Employee Benefits Inc., AmeriGuard Security Services Inc., Maryland Association of Correctional & Security Employees Health & Welfare Plan, and Maryland Association of Correctional & Security Employees Retirement Plan

Date of Action: Nov. 16, 2015

Type of Action: Consent Judgment

Name of Defendant: Paul Wax, Kinetic Solutions Inc. Employee Stock Ownership Plan

Allegations: An investigation by the U.S. Department of Labor's Employee Benefits Security Administration, Kansas City Regional Office, resulted in the department filing a suit in federal court alleging violations of the Employee Retirement Income Security Act.

CHICAGO — Nearly 70 million workers lack access to an employer-sponsored retirement plan. Many states are seeking ways to expand savings options for these workers. It is against this backdrop that the U.S. Department of Labor has published a notice of proposed rulemaking and an interpretive bulletin meant to guide states as they create programs that help more workers save for retirement, and that do not run afoul of the Employee Retirement Income Security Act.

WASHINGTON — The U.S. Department of Labor has filed a lawsuit in the U.S. District Court for the District of Maryland against Chimes District of Columbia, Inc., affiliated companies, company executives and employee benefit plan service providers over allegations that an employee benefit plan sponsored by Chimes DC paid millions of dollars in excessive fees. The non-profit Chimes DC employs disabled workers who provide janitorial and custodial services under multiple taxpayer-funded government contracts.

WASHINGTON — The U.S. Labor Department has issued new guidance regarding economically targeted investments (ETIs) made by retirement plans covered by the Employee Retirement Income Security Act. ETIs are investments that are selected for the benefits they create in addition to the investment return to the employee benefit plan investor.

Date of action: Oct. 19, 2015

Type of action: Consent Judgment and Order

Names of defendants: Steven J. Watkins, Oxford Holdings Inc., and Aetna 401(k) Plan

Date of action: October 8, 2015

Type of action: Complaint

Name of defendants: Draeger Construction Inc.; Draeger Construction LLC; Draeger Construction Inc. Health and Welfare Plan; and Jeffrey Draeger, an individual

Date of action: October 8, 2015

Type of action: Complaint

Name of defendants: Draeger Construction Inc.; Draeger Construction LLC; Draeger Construction Inc. Health and Welfare Plan; and Jeffrey Draeger, an individual

Date of action: Oct. 19, 2015

Type of action: Consent Judgment and Order

Names of defendants: Steven J. Watkins, Oxford Holdings Inc., and Aetna 401(k) Plan

Date of Action: Oct. 8, 2015

Name(s) of Defendant(s): Lisa A. Ferrari, DMD; Clifton Casey and Lisa A. Ferrari, DMD, LLC

Allegations: Based on an investigation conducted by the U.S. Department of Labor’s Employee Benefits Security Administration, the Secretary of Labor filed a complaint on Jan. 14, 2015, alleging the following:

Date of Action: Sept. 29, 2015

Name(s) of Defendants: Encorium Group Inc.

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

Encorium Group Inc.’s predecessor, the Covalent Group, established a 401(k) Profit Sharing Plan in 1996 to provide a way for its employees to voluntarily save for their retirement years on a tax-free basis. The plan was funded by elective employee contributions and discretionary employer contributions.

Type of Action: Default Judgment

Names of Defendant: David Stratton, IDS Sales & Engineering, Inc., IDS Sales & Engineering, Inc. Retirement Savings Plan

Date of action: July 22, 2015

Type of action: Default Judgment and Order

Name of defendants: G&H Technology Inc. 401 (k) Retirement Savings Plan; XAF Inc., a Delaware corporation

Allegations: Based on an investigation conducted by the U.S. Department of Labor’s Employee Benefits Security Administration, the department filed a civil complaint against XAF Inc., asking for the distribution of more than $310,000 in assets to the remaining participants in the 401(k) plan.

Date of Action: Sept. 9, 2015

Type of Action: Consent Judgment and Order

Defendants: American Materials Corp. and Donald J. Bercowetz

Date of Action: Aug. 31, 2015

Type of Action: Complaint

Name(s) of Defendant(s): BAT Masonry Co. Inc., Wayne Booth, Gregory Booth, Melvin Hinton, John Rosser, James Joyner, Wayne Booth Revocable Trust (WB Trust), BAT Masonry Co. Inc. Employee Stock Ownership Plan & Trust, Wayne B. Booth Investments LLC, BST Enterprises LLC, M.H. Masonry & Associates Inc., and Sheldrick, McGehee & Kohler LLC (SMK)

CHICAGO — The U.S. Department of Labor is suing an Illinois home health care provider alleging that the company, the profit-sharing plan and two of its trustees improperly authorized distributions of $1,601,908 in profit-sharing plan assets, in violation of the Employee Retirement Income Security Act.

The department's suit names Palos Hills-based Alliance Home Healthcare Inc.; the Alliance Home Healthcare Inc. Profit Sharing Plan; and company owners and plan trustees, Reginaldo Sulit and Dalisay Sulit.

CHICAGO – The U.S. Department of Labor is suing an Illinois home health care provider alleging that the company, the profit-sharing plan and two of its trustees improperly authorized distributions of $1,601,908 in profit-sharing plan assets, in violation of the Employee Retirement Income Security Act.

The department’s suit names Palos Hills-based Alliance Home Healthcare Inc.; the Alliance Home Healthcare Inc. Profit Sharing Plan; and company owners and plan trustees, Reginaldo Sulit and Dalisay Sulit.

WASHINGTON — As director of the Cement Masons Southern California Trust Funds' audit and collections department, Cheryle Robbins spoke up when she believed a trustee was breaking federal law protecting CMSCTF's retirement and benefit plans. Robbins later cooperated with federal investigators, and the board of trustees responded by placing Robbins on administrative leave. When the company outsourced her department to a third-party administrator, Robbins was the only employee not retained by the new employer.

Date of action: Aug. 7, 2015

Type of action: Complaint

Name(s) of defendant(s): Steven J. Watkins, Oxford Holdings Inc., and Aetna 401(k) Plan

Date of Action: Aug. 4, 2015

Type of Action: Consent Judgment and Order

Name(s) of Defendant(s): Gulf Shores Marina LLC, Laura M. Prioli, Stephen C. Main, Kenneth A. Main II, and the GSM/RYS 401(k) Plan