News & Analysis as of

Employee Retirement Income Security Act (ERISA) › Enforcement Actions › 401k

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

When 401(k) Contributions Disappear: The Harsh Lessons of Micone v. iProcess Online, Inc.

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

You can cut corners in business. You can play fast and loose with your vendor contracts. You can even get away with sloppy recordkeeping—at least for a while. But when you mess with employee 401(k) contributions, you’re not...more

Kilpatrick

DOL Signals Shift to a More Fiduciary-Friendly Enforcement of ERISA

Kilpatrick on

One of the key questions that plan sponsors and fiduciaries have had about the second Trump Administration is how the Department of Labor (“DOL”) would advance the Trump Administration’s policy goals given the...more

Faegre Drinker Biddle & Reath LLP

Things I Worry About (7): DOL Investigations and Unsuspecting Plan Sponsors

Faegre Drinker Biddle & Reath LLP on

The DOL’s EBSA has a number of programs that can restore benefits to plans and participants. Those include: - Civil investigations. - Criminal investigations. - Informal compliant resolutions. - Correction programs. ...more

Goodwin

Financial Services Weekly Roundup: The CFPB Digs Into “Seasoned” Qualified Mortgages

Goodwin on

In the News. The Consumer Financial Protection Bureau (CFPB) issued a notice of proposed rulemaking to create a new category of “seasoned” qualified mortgages; the Securities and Exchange Commission’s (SEC) Office of...more

Proskauer Rose LLP

ERISA Newsletter - Fourth Quarter 2017

Proskauer Rose LLP on

Editor's Overview - For over two decades, federal law has required covered health plans and insurers to ensure that certain mental health benefits are in parity with offered medical/surgical benefits. The meaning of...more

BakerHostetler

2015 Mid-Year Securities Litigation and Enforcement Highlights

BakerHostetler on

Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

Goodwin

Financial Services Weekly News Roundup - April 2015 #5

Goodwin on

Ninth Circuit Denies Rehearing of Northstar v. Schwab. On April 28, the U.S. Court of Appeals for the Ninth Circuit denied the petition of Schwab Investments’ (Schwab) for rehearing and rehearing en banc in the case of...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

In July 2014, the SEC settled the previously reported proceeding involving Chariot Advisors, and its former owner, Elliott Shifman, concerning charges of violating and aiding and abetting the violation of Section 15(c) of the...more

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