DOL Fiduciary Responsibilities Seminar to Be Held in NYC
The seminar will be held in Queens in New York City on May 17.
Tag: Department of Labor
Rhode Island the Next Stop for DOL Fiduciary Seminar
The “Getting It Right – Know Your Fiduciary Responsibilities” seminar will be held in Providence, Rhode Island, on June 28.
Court Finds Pension Trustee Guilty of Embezzlement
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.
DOL Announces Fiduciary Responsibilities Seminar in Louisiana
The event will be held in Metairie, Louisiana, on April 11.
Employee Gets Jail Time for Embezzling 401(k) Funds
A former office manager of New England Anesthesiologists, Inc. was found guilty of embezzling $120,313 in employee deferrals.
DOL Sues Retirement Plan Fiduciaries for Misusing Plan Assets
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.
More Advisers Hope to Switch to Independent RIA Model
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.