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https://www.sec.gov/answers/401-k-.htm
Oct 04, 2012 · U.S. Department of Labor Employee Benefits Security Administration 200 Constitution Avenue, NW, Room N5623 Washington, D.C. 20210 Toll-Free: 1-866-444-EBSA (3272) Phone: (202) 693-8664 . If you have a complaint about your plan, you can learn the procedures for filing a …
http://www.401khelpcenter.com/401k_education/broken_rules.html
If you think the plan trustees or others responsible for investing your pension money have been violating the rules, you should call or write the nearest field office of the U.S. Department of Labor's Employee Benefits Security Administration (EBSA). The Labor Department has authority to investigate complaints of fund mismanagement.
https://www.dol.gov/agencies/ebsa/key-topics/retirement/401k-plans
401(k) Plan Fees Disclosure Tool – A form developed by banking, insurance and mutual fund trade groups to provide employers with a way to collect and compare investment fees and administrative costs of competing providers of plan services. This form was not developed by the Department and was not designed to ensure compliance with the Department's regulations on service provider fee ...
https://www.askebsa.dol.gov/WebIntake/Home.aspx
Requests for Assistance or Complaints involving alleged violations of Title I of ERISA are handled by Benefit Advisors in our national and field offices. Those who file complaints with us can expect a prompt and courteous response from our staff.
https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/enforcement/erisa
EBSA also conducts investigations of criminal violations regarding employee benefit plans such as embezzlement, kickbacks, and false statements under Title 18 of the U.S. Criminal Code.
https://www.sec.gov/complaint/401k.htm
May 12, 2017 · The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) has oversight of 401(k), pension and retirement plans. If you have a question or complaint involving your 401(k), pension or retirement plan, please contact: U.S. Department of Labor Employee Benefits Security Administration Division of Technical Assistance and ...
https://www.benefitspro.com/2014/03/31/dol-cracks-down-on-employer-401k-issues/
Oct 22, 2019 · DOL cracks down on employer 401(k) issues Most fiduciaries and employers want to do the right thing but, as the DOL notes, inadvertent mistakes can create "significant problems."
https://www.marketwatch.com/story/401k-lawsuits-are-surging-heres-what-it-means-for-you-2018-05-09
May 12, 2018 · Over 100 new 401(k) complaints were filed in 2016-17, the highest two-year total since 2008-09. ... combined with the DOL’s 2012 regulation requiring service providers to …
https://401kspecialistmag.com/avoid-dol-401k-audit/
DOL audits are generally not pleasant. It wouldn’t be too strong to say that they are often adversarial. Because these visits are typically generated by employee complaints or Form 5500 errors, auditors have a pretty good idea that something is wrong. Consequently, I recommend that plan sponsors do everything they can to avoid a DOL 401k audit.
https://employment.findlaw.com/wages-and-benefits/erisa-violations-penalties-and-punishments-.html
The second way is through an action initiated by the Employee Benefits Security Administration, or EBSA, which is a part of the Department of Labor that enforces federal laws related to retirement plans and health insurance policies. Under ERISA, violations …
https://www.reference.com/business-finance/file-anonymous-complaint-against-employer-department-labor-b96404dde2c716e6
The Department of Labor, Occupational Health and Safety Administration and Equal Opportunity Employment Commission accept emailed complaints, but email is traceable. These offices do accept third party complaints, although those also should include …
https://www.morganlewis.com/blogs/mlbenebits/2018/07/recent-dol-positions-on-proper-correction-of-late-participant-contributions-and-loan-repayments-and-other-breaches
In recent weeks, there have been a number of reports that the US Department of Labor (DOL) has been taking a more aggressive approach in enforcement actions involving late participant contributions and loan repayments and other errors self-reported by ERISA plans on their Forms 5500.
https://www.benefitnews.com/news/department-of-labor-increases-fines-conducts-fewer-retirement-plan-audits
Apr 16, 2018 · A DOL spokesman says the agency is focused on recovering funds for the plan, not on fining the plan, per se. “The desired outcome is never a civil suit, unless it is absolutely necessary. If we can get something corrected informally it is to everyone's benefit. If there is an obvious crime, then yes, of course,” says a DOL spokesman.Author: Phil Albinus
https://www.forusall.com/401k-blog/401k-administration/
Improperly processing terminated employees may lead to delays in processing distribution requests, which, as you know, is likely to result in complaints to the DoL. Annual Compliance. These are all the tasks that have to be performed after each plan year to ensure everything is …Author: Evan Ross
https://www.cpajournal.com/2019/02/12/protecting-plan-sponsors-from-department-of-labor-sanctions-and-participant-lawsuits/
Many DOL investigations are triggered by complaints or inquiries from employees (EBSA Enforcement Manual, Complaints). The DOL also engages in targeting direct searches of specific data in Forms 5500 and audit report financial statements to identify plans that are not compliant (EBSA Enforcement Manual, Targeting and Limited Reviews). The ...
https://www.labor.nc.gov/workplace-rights/employee-rights-regarding-time-worked-and-wages-earned/how-file-wage-complaint
In order for the N.C. Department of Labor’s Wage and Hour Bureau to assist an employee with a wage dispute, a complaint must be filed with this office. To file a wage complaint, you must contact our Call‐Center at 1‐800‐625‐2267 (1‐800‐NC‐LABOR). An Information Specialist will take the complaint information over the telephone and enter it into our computer data intake system.
https://www.forusall.com/401k-blog/401k-audit/
Nov 26, 2018 · Review 401(k) plan documents and verify the 401(k) plan is compliant with the IRS and DoL rules. Determine the accuracy of info reported in the plan’s Form 5500 and 401(k) financial statements. The Internal Revenue Service and Department of Labor regulate and enforce the submission of the 401(k) audit.Author: Evan Ross
https://www.aicpa.org/interestareas/employeebenefitplanauditquality/resources/accountingandauditingresourcecenters/downloadabledocuments/dol_ebsa_criminal_case_summaries.pdf
DOL Criminal Enforcement Cases October 2014– November 2018 The AICPA Employee Benefit Plan Audit Quality Center has developed this summary analysis of the U.S. Department of Labor (DOL) Employee Benefit Security Administration’s (EBSA) criminal enforcement actions involving employee benefit plans during the period October 2014 through
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