Date of action: June 1, 2015

Type of action: Consent Judgment and Order.

Names of defendant: Seavey's Furniture & Appliance Inc. and Timothy W. Seavey

Date of action: June 1, 2015

Type of action: Consent Judgment and Order.

Names of defendant: Seavey’s Furniture & Appliance Inc. and Timothy W. Seavey

Allegations: The Seavey’s Furniture & Appliance Inc. Simple IRA plan was established to provide retirement benefits for participating employees of Seavey’s Furniture & Appliance Inc., located in Windham, Maine. The plan was funded by amounts withheld from employees’ paychecks as employee contributions and by matching employer contributions.

Date of action: May 26, 2015

Type of action: Criminal Conviction and Sentence

Name of defendant: Lance Silva

LOS ANGELES – The U.S. Department of Labor has filed a lawsuit against Gruber Systems Inc. and its CEO John Hoskinson alleging that the defendants caused the company's employee stock ownership plan participants to lose money when the plan purchased additional company stock for significantly more than fair market value in two transactions totaling $2.6 million.

The suit alleges that this money should have been set aside to fund the retirement accounts of Gruber retirees, but was steered into the stock purchase to fund the financially distressed company.

WASHINGTON — The U.S. Labor Department's Employee Benefits Security Administration has published its study on the quality of benefit plan audits performed by certified public accountants. The report, "Assessing the Quality of Employee Benefit Plan Audits," reveals serious issues with the current system.

Date of Action: May 21, 2015

Type of Action: Consent Judgment and Order

Names of Defendants: Alfred H. Chan M.D., P.C.; Alfred H. Chan; Judy H. Chan; and the Alfred H. Chan M.D., P.C. Defined Benefit Plan & Trust

Date of Action: May 21, 2015

Type of Action: Consent Judgment and Order

Names of Defendants: Alfred H. Chan M.D., P.C.; Alfred H. Chan; Judy H. Chan; and the Alfred H. Chan M.D., P.C. Defined Benefit Plan & Trust

Date of Action: April 20, 2015

Type of Action: Amended Complaint to permanently enjoin from serving as a fiduciary to any retirement benefit plan subject to the Employee Retirement Security Income Security Act of 1974 and from violating the act.

Name of Defendant: AARC Environmental, Inc., an environmental engineering firm in Houston, Texas, and owner Kishore Chainani

Date of Action: April 20, 2015

Type of Action: Amended Complaint to permanently enjoin from serving as a fiduciary to any retirement benefit plan subject to the Employee Retirement Security Income Act of 1974 and from violating the act.

Name of Defendant: AARC Environmental, Inc., an environmental engineering firm in Houston, Texas, and owner Kishore Chainani

Date of Action: May 15, 2015

Type of Action: Default Judgment

Names of Defendants: Janet Finken, I.Q. Marketing, Inc., I.Q. Marketing Inc. 401(k) Plan

Date of Action: May 14, 2015

Type of Action: Consent order and judgment

Names of Defendant: Jean Hanvik, SGH Communications, Inc., SGH Communications, Inc. SIMPLE Plan

Allegations: Jean Hanvik was the sole owner of SGH Communications, Inc. in Lakeville, Minnesota. SGH Communications, Inc. was the plan administrator for the SGH Communications Inc. SIMPLE Plan.

Date of Action: April 28, 2015

Type of Action: Complaint

Names of Defendants: Law Partners LLC, Milton Bryan Peoples, and the Law Partners LLC 401(k) Salary Reduction Plan

Date of Action: April 28, 2015

Type of Action: Complaint

Names of Defendants: Law Partners LLC, Milton Bryan Peoples, and the Law Partners LLC 401(k) Salary Reduction Plan

Date of Action: May 1, 2015

Type of Action: Complaint

Names of Defendants: Charles W. Buller; Park Place Wood Products Inc.; and the Park Place Woods Products Inc. Retirement Savings Plan

Date of Action: May 1, 2015

Type of Action: Complaint

Names of Defendants: Charles W. Buller; Park Place Wood Products Inc.; and the Park Place Woods Products Inc. Retirement Savings Plan

Date of Action: April 17, 2015

Name(s) of Defendants: Steven F. Sonstein,  Cobalt Staffing Inc. and Cobalt Staffing Inc. 401(k) Plan

Date of Action: April 20, 2015

Type of Action: Civil Complaint

Names of Defendants: Lance Silva, National Upholstering Company, Inc., and the National Upholstering Company 401(k) Plan

LOS ANGELES – The U.S. Department of Labor has filed a lawsuit against the fiduciaries of the City National Corp. Profit Sharing Plan. Filed in the U.S. District Court for the Central District of California Western Division, the lawsuit alleges that the plan lost more than $4 million when fiduciaries engaged in self-dealing and conflicted transactions involving plan assets when they caused the plan to pay excessive fees to City National Bank and its affiliates.

Date of Action: April 20, 2015

Name(s) of Defendants: Stephen Scott Danby, Jr.; Danby Lumber and Millwork Company, Inc.; Danby Lumber and Millwork Company, Inc. 401(k) Profit Sharing Plan

Date of Action: April 21, 2015

Type of Action: Consent Judgment and Order

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