WASHINGTON — The U.S. Department of Labor today published a request for information on the use of brokerage windows, self-directed brokerage accounts and similar features in 401(k)-type plans. The RFI will appear in the Aug. 21 edition of the Federal Register and can also be viewed at https://federalregister.gov/a/2014-19832.

Date of Action: July 8, 2014

Type of Action: Consent Order and Judgment

Name of Defendant: Peter Connor, Gordon Connor, WD Flooring LLC, Nicolet Hardwoods Corporation and the Connor Companies Health and Welfare Benefit Plan

Allegations: On April 29, 2014, the U.S. Department of Labor filed suit against Peter Connor, Gordon Connor, WD Flooring LLC, Nicolet Hardwoods Corporation and Connor Companies Health and Welfare Benefit Plan, a self-funded health plan, in the U.S. District Court for the Eastern District of Wisconsin.

Date of Action: Aug. 18, 2014

Type of Action: Complaint

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

Allegations: An investigation by the U.S. Department of Labor’s Employee Benefits Security Administration found that Janet Finken and I.Q. Marketing, Inc., fiduciaries of the I.Q. Marketing Inc. 401(k) Plan failed to administer the plan since Jan. 17, 2014.  The company ceased operations in August 2012 and involuntarily dissolved by the State of Minnesota on Aug. 1, 2012.

Date of Action: Aug. 4, 2014

Type of Action: Consent Order and Judgment

Names of Defendants: John W. Hufgard, Universal Custom Process Inc. 401(k) Retirement Plan 

Kevin Burke Home Improvement faces more than $56,000 in proposed penalties

BUFFALO, N.Y. — A home improvement business based in Hamburg was found to have repeatedly exposed its employees to potentially fatal falls of 20 feet or more at a Lackawanna work site, according to the U.S. Department of Labor's Occupational Safety and Health Administration. Kevin Burke Home Improvement was cited for five serious and two willful safety violations, with total proposed penalties of $56,400.

HICKORY, N.C. — The U.S. Department of Labor has entered into a settlement agreement with Gaines Motor Lines Inc., as well as individuals Tim Gaines and Rick Tompkins, to resolve findings made by the department's Occupational Safety and Health Administration alleging that four former truck drivers were terminated for participating in an inspection audit, in violation of the whistleblower protection provision of the Surface Transportation Assistance Act.

MOLINE, Ill. — McLaughlin Body Co. has been cited for exposing workers to amputation hazards at the company's two plants in Rock Island and East Moline. The U.S. Department of Labor's Occupational Safety and Health Administration initiated the inspections in March 2014 after receiving complaints alleging unsafe working conditions at both plants. The inspection found nine serious violations carrying proposed penalties of $43,000.

Date of Action: Aug. 11, 2014

Type of Action: Default Judgment

Names of Defendant: Margaret T. Storrow, as a fiduciary to the Storrow Kinsella Associates Inc. SIMPLE IRA Plan, Storrow Kinsella Associates Inc., and Storrow Kinsella Associates Inc. SIMPLE IRA Plan.

AVON LAKE, Ohio — Perry Fiberglass Products Inc. has been cited for four repeat and nine serious safety and health violations after the U.S. Department of Labor's Occupational Safety and Health Administration received a complaint alleging unsafe handling of hazardous chemicals at the company's Avon Lake facility. OSHA initiated an inspection Feb. 5, 2014, at the facility, which manufactures fiberglass pipes and tanks. Proposed penalties total $53,130.

SAVOY, Ill. — Roofing contractor Juan Manuel Antonio-Martinez has been cited for three willful safety violations for exposing workers to fall hazards at two separate residential home sites in Savoy on March 26, 2014, and April 9, 2014. The U.S. Department of Labor's Occupational Safety and Health Administration has proposed penalties of $85,800. This is the fifth time OSHA has cited the company for similar violations in the past three years.

ST. LOUIS, Mo. — The Mason Contractors Association of St. Louis and the U.S. Department of Labor's Occupational Safety and Health Administration have renewed a partnership focused on training employers and workers about hazards masonry workers face daily on the job including fall, electrical, trenching and struck-by hazards.

PONTIAC, Mich. — Asphalt Specialists Inc. has been found in violation of the Surface Transportation Assistance Act by the U.S. Department of Labor's Occupational Safety and Health Administration for wrongfully terminating a foreman and two truck drivers. They had raised safety concerns after being directed to violate U.S. Department of Transportation mandated hours of service for commercial truck drivers.

PONTIAC, Mich. — Asphalt Specialists Inc. has been found in violation of the Surface Transportation Assistance Act by the U.S. Department of Labor's Occupational Safety and Health Administration for wrongfully terminating a foreman and two truck drivers. They had raised safety concerns after being directed to violate U.S. Department of Transportation mandated hours of service for commercial truck drivers.

Date of Action: July 29, 2014

Name(s) of Defendant(s): Gregory Ridge; Ridge & Long Limited Co.; and Ridge & Long Limited Co. 401(k) profit sharing plan & 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: July 31, 2014

Name(s) of Defendant(s): Rebecca Bellamy; American Home Care LLC; and American Home Care LLC 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 defendants failed to ensure elective employee contributions to the plan were remitted on a timely basis. The amount of restitution owed to the plan participants was determined to be $12,713.07, which includes interest for lost opportunity costs.

JESUP, Ga. — Sarah Jones, a 27-year-old camera assistant, was killed and eight other workers were injured while trying to escape an oncoming freight train during the filming of a scene on Feb. 20 for the movie "Midnight Rider," a biopic based on the life of musician Gregg Allman. Film Allman LLC of Pasadena, California, was cited by the U.S. Department of Labor's Occupational Safety and Health Administration for one willful and one serious safety violation for exposing employees to struck-by and fall hazards.

JESUP, Ga. — Sarah Jones, a 27-year-old camera assistant, was killed and eight other workers were injured while trying to escape an oncoming freight train during the filming of a scene on Feb. 20 for the movie "Midnight Rider," a biopic based on the life of musician Gregg Allman. Film Allman LLC of Pasadena, California, was cited by the U.S. Department of Labor's Occupational Safety and Health Administration for one willful and one serious safety violation for exposing employees to struck-by and fall hazards.

BATON ROUGE, La. – Protecting workers from construction hazards is the goal of a renewed alliance agreement between the U.S. Department of Labor's Occupational Safety and Health Administration and the Associated Builders and Contractors, Pelican Chapter in Baton Rouge.

WELCH, W. Va. – A January 2014 investigation by the U.S. Department of Labor's Occupational Safety and Health Administration revealed that correctional officers and other staff at McDowell medium-security federal prison in Welch were allegedly exposed to bloodborne pathogens and other workplace safety and health hazards. OSHA issued notices to the Federal Correctional Institution at McDowell, a part of the U.S. Department of Justice Federal Bureau of Prisons.

BATON ROUGE, La. — Protecting workers from construction hazards is the goal of a renewed alliance agreement between the U.S. Department of Labor's Occupational Safety and Health Administration and the Associated Builders and Contractors, Pelican Chapter in Baton Rouge.