Date of Action: Jan. 26, 2015

Type of Action: Consent Judgment

Name(s) of Defendant(s): Gregory Ridge, Ridge and Long Limited Co., and Ridge and Long Limited Company 401(k) Profit Sharing Plan and Trust

Allegations: Based on an investigation conducted by the U.S. Department of Labor’s Employee Benefits Security Administration, on July 29, 2014, the Secretary of Labor filed a complaint alleging the following:

Date of Action: Jan. 23, 2015

Name(s) of Defendants: TecSol Inc.

Date of Action: Jan. 26, 2015

Type of Action: Consent Judgment

Name(s) of Defendant(s): Gregory Ridge, Ridge and Long Limited Co., and Ridge and Long Limited Company 401(k) Profit Sharing Plan and Trust

Allegations: Based on an investigation conducted by the U.S. Department of Labor’s Employee Benefits Security Administration, on July 29, 2014, the Secretary of Labor filed a complaint alleging the following:

Date of Action: January 23, 2015

Type of Action: Complaint

Names of Defendants: Northampton Motor Classics LLC and Andrew Feuerstein

Date of Action: January 8, 2015

Type of Action: Complaint and Consent Judgment and Order

Names of Defendants: Richard Curtis Herring.

Date of Action: January 8, 2015

Type of Action: Complaint and Consent Judgment and Order

Names of Defendants: Richard Curtis Herring.

Date of Action: January 14, 2015

Type of Action: Complaint

Names of Defendants: Butte Steel & Fabrication Inc.; Jeffrey Brochheuser; and the Butte Steel & Fabrication Inc. 401(k) Profit Sharing Plan

Date of Action: Jan. 15, 2015

Type of Action: Order

Names of Defendant: Scott Wallis, Ronald Eriksen, U.S.A. Baby Inc., U.S.A. Baby Inc. 401(k) Plan, U.S.A. Baby Inc. Health Plan. Wallis was an owner and president of U.S.A. Baby Inc. and Eriksen was a majority owner and chief executive officer of the defunct company, which was located in Lombard, Illinois.

Date of Action: Dec. 29, 2014

Type of Action: Complaint

Names of Defendant: Roger Ramsay and Compensation Planning Corp. of Rochester Inc.

Date of Action: Jan. 14, 2015

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

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:

Date of Action: Jan. 12, 2015

Type of Action: Complaint

Name of Defendant: Kenneth W. Wright, E. Paul Willingham, and SchoolStart Company 401(k) P/S 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.

Date of Action: Jan.7, 2015

Type of Action: Complaint

Name(s) of Defendant(s): Nathan Williams, NW Systems Inc., and NW Systems Inc. 401(k) Profit-Sharing Plan and Trust

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:

Date of Action: Jan. 8, 2015

Type of Action: Complaint

Names of Defendant: John Bonner, Bonner & Borhart LLP, Bonner & Borhart LLP SIMPLE IRA Plan

Allegations: From Jan. 15, 2009, to present, John Bonner was the managing partner and sole owner of Bonner & Borhart in Melrose, Minnesota. Bonner & Borhart was the plan administrator for the Bonner & Borhart LLP SIMPLE IRA Plan.

Date of Action: Jan. 6, 2015

Type of Action: Consent judgment

Name of Defendant: David E. Doll

Allegations: Based on an investigation conducted by the U.S. Department of Labor’s Employee Benefit Security Administration, the Secretary of Labor filed a complaint on Dec. 30, 2013 alleging:

Date of Action: Dec. 17, 2014

Type of Action: Complaint

Name(s) of Defendant(s): Bryan M. Johns and Rainwire Partners Inc. 401(k) Plan

Date of Action: Dec. 31, 2014

Type of Action: Complaint

Names of Defendants: The Children’s Place Inc., The Children’s Place Inc. Welfare Benefit Plan and Hendrik Johannes Lamprecht based in Bradenton, Florida.

Date of Action: Dec. 23, 2014

Type of Action: Complaint

Names of Defendants: Mattie Kon and Blitz Systems Inc. 401(k) Plan.

An investigation by the U.S. Department of Labor’s Employee Benefits Security Administration resulted in the department filing a suit in federal court alleging violations of the Employee Retirement Income Security Act:

Date of Action: Jan. 5, 2015

Type of Action: Consent Order and Judgment

Names of Defendants: Cargill Heating & Air Conditioning Co., Inc., Michael Earl Galstad, and Cargill Heating & Air Conditioning Co., Inc. Savings Plan in La Crosse, Wis.

Allegations: The U.S. Department of Labor filed a lawsuit on March 25, 2014, in the U.S. District Court for the Western District of Wisconsin, alleging violations of the Employee Retirement Income Security Act by the defendants.

Date of Action:  December 19, 2014

Type of Action: Complaint

Names of Defendants: Bar-K Inc.; Walter Ng; Bruce Horwitz; and Bar-K 401(k) Plan

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

Date of Action:  December 19, 2014

Type of Action: Complaint

Names of Defendants: Bar-K Inc.; Walter Ng; Bruce Horwitz; and Bar-K 401(k) Plan

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