Date of Action:  Feb. 4, 2014

Type of Action:  Consent Order and Judgment

Names of Defendants: Daniel Deighan, Timothy Deighan, Sunset Golf LLC, Revolution Golf LLC, Sunset Golf, LLC 401(k) Employee Retirement Plan, and Sunset Golf LLC Group Health Plan in Loudonville, Ohio.

Date of Action: January 30, 2014

Type of Action: Complaint

Name of Defendant: Thomas R. Brewer, in his capacity as fiduciary of the Matthewson Corp. Inc. 401(k) Profit Sharing Plan

Date of Action: Jan. 29, 2014

Type of Action: Complaint

Names of Defendant: Applied Technology Systems Inc.; Clark V. Hayes; and the Applied Technology Systems Inc. Retirement Plan located in Cleveland, Ohio

Allegations: As fiduciaries of the Plan, defendants Applied Technology Systems Inc. and Clark V. Hayes failed to segregate and remit employee contributions and loan repayments and failed to administer the Plan causing six former Applied Technology Systems, Inc. employees to be unable to obtain distributions from their individual accounts since March 2011.

WASHINGTON — The U.S. Department of Labor today announced a settlement with Western Asset Management Company, a subsidiary of Legg Mason Inc. This follows investigations, which revealed the purchase of prohibited securities that resulted in losses to the accounts of nearly 100 employee benefit plans and investment funds holding plan assets. The settlement also resolves findings that the company engaged in prohibited cross-trading of securities in the accounts of other retirement plans and funds, which caused additional losses.

Date of Action: Jan. 17, 2014

Name(s) of Defendant(s): Raymond Orsuto; 800 West Salon Inc.; 800 West Salon Inc. Retirement Savings Plan

Allegations: The department filed a complaint against Raymond Orsuto, 800 West Salon Inc. and the 800 West Salon Inc. Retirement Savings Plan on Aug. 13, 2013, alleging that Orsuto and the company failed to ensure employee contributions to the plan were remitted and remitted on a timely basis from 2007 through 2009.

Date of Action: Jan. 21, 2014

Type of Action: Consent order and judgment

Defendants: Darryl J. Grandy and the Syracuse Lithographing Co. Employees Profit Sharing Retirement Plan

WASHINGTON — The U.S. Department of Labor today announced a $10 million settlement agreement with People Care Holdings Inc. and former owners Bruce Jacobson and Jerry Lewkowitz, who sold the company to their employees through creation of an employee stock ownership plan. The department contended that they violated the Employee Retirement Income Security Act by permitting the ESOP to purchase People Care stock from them for more than its fair market value.

Date of Action: Jan. 2, 2014

Type of Action: Default Judgment and Order

Names of Defendants: Zohouri Group LLC and Farbod S. Zohouri

Date of Action: Jan. 14, 2014

Type of Action: Complaint

Names of Defendants: Stephanie J. Jochims and Robert C. Jochims

Allegations: The U.S. Department of Labor has filed suit against Stephanie J. Jochims, the former owner of Western Steel Erection, Inc., and her husband Robert C. Jochims, in an effort to recover $5,167 in employee retirement contributions and loan repayments intended for the Western Steel Erection 401(k) Plan. The company was located in Long Lake, Minn.

Date of Action: Jan. 8, 2014

Type of Action: Consent Order and Judgment

Name of Defendant: Hico Flex Brass Co., Inc., Mark Isaacs, and Neil Isaacs

Date of Action: Dec. 5, 2013

Type of Action: Complaint

Name(s) of Defendant: F.V. Zanetti Inc. and Robert Zanetti

Date of Action: Dec. 12, 2013

Type of Action: Consent Judgment and Order

Name(s) of Defendant: Counseling and Educational Consultants, doing business as Rumford Day Nursery, Inc., and Deborah Very-King

Date of Action: Dec. 19, 2013

Name(s) of Defendant(s): David Kephart, Timothy Kephart, Kephart Trucking Co., and the Kephart Trucking Co. 401(k) plan

Allegations: In 1988, trucking company Kephart Trucking Co. in Bigler, Pa., established the Kephart Trucking Co. 401(k) plan for its employees. David Kephart, Timothy Kephart, and the company were plan fiduciaries, responsible for making decisions concerning the remittance of elective contributions to the plan.

Date of Action: Dec. 30, 2013

Type of Action: Complaint

Name of Defendant: David E. Doll

WARSAW, Ind — The U.S. Department of Labor has filed a lawsuit in U.S. District Court to recover losses to the Miller's Health Systems, Inc., Employee Stock Ownership Plan. The suit alleges that PBI Bank, Inc., the trustee of the plan, authorized the purchase of company stock for $40 million, an amount far in excess of the fair market value of the stock. The suit also alleges that PBI Bank approved financing for the transaction at an excessive interest rate. Miller's Health is a Warsaw-based company that manages long-term care and assisted-living facilities.

WASHINGTON — The U.S. Departments of Labor, Health and Human Services, and Treasury today proposed rules that would adjust regulations under the Health Insurance Portability and Accountability Act of 1996 regarding excepted benefits to include employee assistance programs (EAPs). The proposed rules would also provide added options for employees and employers in connection with the Affordable Care Act.

Date of Action: Dec. 18, 2013

Type of Action: Complaint

Names of Defendants: Gerald Boschwitz, and Thomas Boschwitz, individually and as fiduciaries of the Home Valu Interiors Employee Benefit Plan (Health Plan), Home Valu Interiors Self-Insured Voluntary Dental Plan (Dental Plan), Home Valu, Inc. Group Insurance Plan (Life Insurance Plan), and Home Valu Flexible Reimbursement Plan (Flex Plan)

Date of Action: Dec. 16, 2013

Type of Action: Complaint

Names of Defendant: Eugene Aguirre and the Sunstrand Electric Company Inc. Employees 401(k) Profit Sharing Plan and Trust

HONOLULU - The U.S. Department of Labor has secured a consent judgment with Aiea-based cement construction and contracting company Reef Development of Hawaii Inc. and its president, Samuel Sanchez Aguirre. An investigation by the department’s Employee Benefits Security Administration established that Aguirre, acting as trustee to the profit-sharing plan, violated the Employee Retirement Income Security Act by mismanaging plan assets, resulting in more than $700,000 in lost principal, plus approximately $303,000 in lost interest.

Date of Action: December 9, 2013

Type of Action: Complaint

Name(s) of Defendant(s): Timothy A. Clark, Central Pennsylvania Pulmonary Associates LLC and Central Pennsylvania Pulmonary Associates LLC 401(k) Plan