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https://www.sec.gov/answers/401-k-.htm
Oct 04, 2012 · 401(k) Questions and Complaints. The Securities and Exchange Commission does not regulate or oversee retirement plans, such as pensions or 401(k) plans. If you have a question about your retirement plan, please contact: If you have a complaint about your plan, you can learn the procedures for filing a claim on the EBSA's website.
https://www.sec.gov/complaint/401k.htm
May 12, 2017 · The U.S. Securities and Exchange Commission administers and enforces the federal laws that govern the sale and trading of stocks, bonds, mutual funds, and other securities. The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) has oversight of 401(k), pension and retirement plans.
https://www.finra.org/investors/have-problem/file-complaint/complaint-center
If your problem involves a brokerage firm serving as the administrator of your 401(k) or other retirement plan—or if it involves an individual broker who provided advice or handled transactions in your retirement plan—then you should file your complaint with FINRA.
http://www.401khelpcenter.com/401k_education/broken_rules.html
The Labor Department has authority to investigate complaints of fund mismanagement. If an investigation reveals wrongdoing, the Department can take action to correct the violation, including asking a court to compel plan trustees and others to put money back in the plan.
https://www.dol.gov/agencies/ebsa/about-ebsa/ask-a-question/ask-ebsa
Can the Department of Labor assist me with my pension, 401(k), profit sharing, or other retirement issue, if my benefit is lost, stolen, or being denied by my plan? You can speak to an EBSA employee with expertise in ERISA and employee benefits.
https://www.askebsa.dol.gov/WebIntake/Home.aspx
Those who file complaints with us can expect a prompt and courteous response from our staff. Every complaint received will be pursued and, if determined to be valid, resolution will be sought through informal dispute resolution. You can expect to receive a status report from the …
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. Prosecution of these criminal violations is handled by U.S. Attorneys' offices, see Criminal Enforcement News Releases.
https://www.opm.gov/our-inspector-general/hotline-to-report-fraud-waste-or-abuse/complaint-form/
This form is for filing complaints with the Office of Personnel Management Office of the Inspector General. THIS FORM IS INTENDED FOR REPORTING FRAUD, WASTE, AND ABUSE. The Office of Personnel Management (OPM) Office of the Inspector General (OIG) does not investigate customer service complaints.
https://www.irs.gov/irm/part13/irm_13-001-015
Complaints about IRS employee conduct should be evaluated and acted upon according to the procedures described in RRA '98 §1203 All Employee Guide ( Document 11043). Allegations determined to be potential IRC §1203 violations will be sent to Treasury Inspector General for tax Administration (TIGTA) for processing and investigation, if required.
https://answers.yahoo.com/question/index?qid=20130827151652AAfiEDf
Aug 27, 2013 · Go on the website of the financial services institution that handles your 401K (it might be something like JP Morgan Chase, Fidelity, etc.) Look up the …
https://www.consumer.ftc.gov/media/video-0054-how-file-complaint
Complaints help the FTC and other law enforcement agencies bring scam artists to justice and put an end to unfair and misleading business practices. If you have a complaint, file …
https://www.investopedia.com/ask/answers/why-did-my-employer-delay-401k-distributions/
If your employer has delayed your 401(k) distributions, there may be a legitimate explanation, but the company is required to let you know why in writing. But before you do that, it's crucial to ...
https://www.consumeraffairs.com/finance/fidelity.html
Dec 17, 2019 · Fidelity Investments is a privately-held full-service financial firm that offers an extensive range of investment options, including online trading, retirement accounts, IRAs, mutual funds, life ...1.3/5(85)
https://www.bbb.org/us/ks/overland-park/profile/retirement-planning-services/empower-retirement-0674-1000005962
When considering complaint information, please take into account the company's size and volume of transactions, and understand that the nature of complaints and a firm's responses to them are ...
https://law.freeadvice.com/insurance_law/insurance_law/erisa-claims.htm
The process of filing an ERISA claim has two general components, according to Dean, who told us, “The law says that you (a) must file a claim, and (b), must exhaust the plan’s administrative processes (with minor exceptions) before you can file a lawsuit. If you file a lawsuit too early, it can be dismissed and your claim barred.
https://www.bbb.org/us/nj/roseland/profile/payroll-services/adp-llc-0221-12001629
After leaving my old job and relocating, I needed to go through ADP to change the address on file for my W-2's. When I originally called, they asked for the address on file, mind you I moved twice ...
https://www2.illinois.gov/idol/Pages/Complaints.aspx
The Department of Labor processes the following types of employment related complaints. You can visit any of the offices for the Department of Labor and submit a complaint in person. Depending upon the type of complaint, you may need to provide certain documents such as W-2, paystubs, and/or any other supporting documents verifying the complaint.
https://www.labor.nc.gov/workplace-rights/employee-rights-regarding-time-worked-and-wages-earned/how-file-wage-complaint
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. To better serve you, we ask that you have the …
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