Date of Action: July 2, 2015

Type of Action: Complaint

Name of Defendants: Rik Sanchez, Ants Software Inc., and Ants Software Inc. 401(k) Plan

Date of Action: July 2, 2015

Type of Action: Complaint

Name of Defendants: Rik Sanchez, Ants Software Inc., and Ants Software Inc. 401(k) Plan

Date of Action: July 1, 2015

Name(s) of Defendant(s): Howard Lapensohn; Lapensohn Accounting Professionals LLC; and Lapensohn Accounting Professionals LLC SIMPLE 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:

WASHINGTON — The U.S. Department of Labor's Employee Benefits Security Administration is soliciting nominations to fill five, 3-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 July 31.

Date of Action: June 29, 2015

Name(s) of Defendant: Thomas Cullen, Thomas E. Moore Inc., and Thomas Moore/Video Scene of Delaware Simple IRA 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: June 24, 2015

Type of Action: Filing of a Complaint in the U.S. District Court for the Northern District of Ohio

Names of Defendants: Applied Technology Systems Inc., Clark W. Hayes, Applied Technology Systems, Inc. Retirement Plan

Date of Action: June 16, 2015

Type of Action: Consent Judgment

Name of Defendant: The Estate of Richard Talley and American Title Services Retirement Trust

Allegations: Based on an investigation conducted by the U.S. Department of Labor's Employee Benefit Security Administration regarding a complaint filed on June 27, 2014 alleging:

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: 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: 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: 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: 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: 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: 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