Compliance | October 13th, 2026 Adviser Accused of Embezzling His Firm’s Employee Retirement Savings, Ponzi Scheme The defendant allegedly used the stolen funds for his personal benefit, including memberships in a yacht club and a social...
Compliance | April 8th, 2024 After DOJ Criminal Sentence, DOL Sues Profit-Sharing Plan of Pennsylvania Mushroom Farmer Department of Labor brings a lawsuit against the profit-sharing plan of a criminally indicted Pennsylvania mushroom farm retirement plan.
Compliance | January 29th, 2024 DOL Lawsuit Alleges TPA Stole $5.5M in Retirement Plan Assets From 17 Clients A restraining order has been filed in the Department of Labor lawsuit against Pennsylvania third-party administrator RiversEdge.