The seminar will be held in Queens in New York City on May 17.
Tag: Department of Labor
The “Getting It Right – Know Your Fiduciary Responsibilities” seminar will be held in Providence, Rhode Island, on June 28.
The trustee is ordered to pay $234,271 in restitution, serve a year of probation and is barred from serving as a fiduciary to a benefit plan for 13 years.
The event will be held in Metairie, Louisiana, on April 11.
A former office manager of New England Anesthesiologists, Inc. was found guilty of embezzling $120,313 in employee deferrals.
A federal district court judge entered a judgment requiring Michael Lewis, former president of Acme Orthotics and Prosthetic Laboratories Inc., to restore $128,535.75 in losses owed to the company’s Profit Sharing 401(k) Plan and Trust.
A TD Ameritrade survey found interest in becoming an independent RIA among advisers is high, yet uncertainty about the future is keeping most from making their move.