ERISACourt RulingsAug 14, 2026
t this statement “necessarily implies that pre-1993 ret irees had lifetime, uncapped
benefits.” Kaiser, 2024 WL 1283535, at *4. But, read closely, this was not an affirmative statement or argument made by Alcoa;
it was simply a summary of the opposing side’s position. Such
statements cannot trigger judicial estoppel.
Seco…
81 FR 21181 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-De… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
the preamble to the accompanying final rule, which contained information relevant to the costs and administrative burdens attendant to the proposals. The Department took into account such public comments in connection with making changes to the prohibited transaction exemption, analyzing the economic impact of the prop…
ERISACourt RulingsJul 26, 1995
…nior Policy Advisor
[ENDNOTES]
[1] This letter was mistakenly referred to as being sent on
arch 20, 1993 in the ALJ opinion.
[2] While NIP's letter was dated June 6, 1990, the enclosed Form
5500 was dated June 7, 1993. In the ALJ opinion, this letter was
described as sent on June 20, 1993.
[3] The Administrative Law Ju…
ERISACourt RulingsDec 21, 1993
…S Search
Case Status
DOL Home > OALJ > ERISA > USDOL, PWBA v. Northwestern Institute
of Psychiatry, 1993-RIS-23 (ALJ Dec. 21, 1993)
USDOL/OALJ Reporter
USDOL, PWBA v. Northwestern Institute of
Psychiatry, 1993-RIS-23 (ALJ Dec. 21, 1993)
Date: December 21, 1993
Case No.: 93-RIS-23
In the Matter of
U.S. DEPARTMENT OF LAB…
ERISACourt RulingsApr 27, 1995★ strong match
…e parties.
[2] In accordance with the timetable set for filing briefs, the Com-
plainant, on May 5, 1993, filed an extensive brief of law and fact
regarding this matter. Conversely, the Respondent chose to simply
submit a letter stating, in pertinent part, that
We have established "reasonable cause" for our failure to
…
81 FR 21147 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Co… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
failure to maintain the required records with respect to a given transaction or set of transactions does not affect the relief for other transactions. The Department has accepted these comments and made the requested revisions. Thus, the Department specifically clarified that “[f]ailure to maintain the required records…
90 FR 3667 — Prohibited Transaction Exemption (PTE) 2002-51 To Permit Certain Transactions Identified in the Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025related by meaning
e use of the SCC and suggested that the Department should allow self-correctors to choose whether (a) to provide notice to interested persons (but
not to EBSA) or (b) make the plan contribution. After considering these comments, the Department has not made this change. Self-correctors have a streamlined procedure for s…
89 FR 32346 — Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
Document Headings
Document headings vary by document type but may contain
the following:
the agency or agencies that issued and signed a document
the number of the CFR title and the number of each part
the document amends, proposes to amend, or is directly
related to
the agency docket number / agency internal file numb…
ERISACourt RulingsApr 12, 1995
g of an accountant's
report is capped at $50,000.
The following facts are undisputed. On June
11, 1993, PWBA issued a Notice of Rejections to the Plan Administrator of the Bakery and Confectionery Workers Local 125
Health and Welfare Fund notifying the Plan Administrator that the
annual report had been rejected. The No…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
4.
See John Hancock Mut. Life Ins. Co.
v.
Harris Trust & Sav. Bank,
510 U.S. 86, 98 (1993).
Back to Citation
105.
See BancOklahoma Mortg. Corp.
v. Capital Title Co., Inc.,
194 F.3d 1089 (10th Cir. 1999) (stating that McCarran-Ferguson Act bars the application of a Federal statute only if (1) the Federal statute doe…
ERISACourt RulingsApr 28, 1995
…nnual report Form
5500 be filed by Respondent within 45 days.[3] (CX-2). By letter dated August 20, 1993, Respondent informed
Complainant they needed additional time outside the 45-day period
to complete the process of correcting their annual report.
Respondent also advised Complainant that annual reports
containing th…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
Document Headings
Document headings vary by document type but may contain
the following:
the agency or agencies that issued and signed a document
the number of the CFR title and the number of each part
the document amends, proposes to amend, or is directly
related to
the agency docket number / agency internal file numb…
ERISACourt RulingsJun 9, 2000
…tained any assets. (J-23). These changes were made and submitted as a draft to the PWBA on June 22, 1993. The
draft was not signed. (J-24). An executed copy was submitted on
July 13, 1993. (J-25).
II. Procedural History
After the Regional Administrator issued the
Notice of Assessment on November 24, 1992, assessing a t…
ERISACourt RulingsFeb 22, 2000★ strong match
he failure to deliver the Annual Report Form
5500 C/Rs by November 13, 1998, which were delivered five days late
on November 18, 1998
15,000.00
Total: $53,062.00
IT IS THEREFORE ORDERED that:
1. In the event that the Respondent pays to
the Complainant the 1% of the $2,096,200.00 penalty, the previously
negotiated civil…
ERISACourt RulingsMar 29, 1995
…
to support the assessed penalty primarily because of the time that
passed between the September 7, 1993 Notice of Rejection (EX 2) and
Respondent's November 26, 1993 letter to PWBA regarding the
retention of an IQPA (EX 3). PWBA correctly points out that
Respondent had a 45 day penalty-free period within which to file…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
…last established by statute or regulation other than the Prior Inflation Adjustment Act was $100 in 1993.
See FMLA of 1993, Pub. L. 103-3, § 109(b) (Feb. 5, 1993).
To adjust the existing civil money penalty for this paragraph, the Department multiplied that maximum penalty amount by the inflation adjustment factor for …
87 FR 45204 — Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Jul 27, 2022related by meaning
…nd (d) of the exemption.
Back to Citation
41.
Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993).
Back to Citation
42.
Improving Regulation and Regulatory Review, 76 FR 3821 (Jan. 18, 2011).
Back to Citation
43.
44 U.S.C. 3506(c)(2)(A) (1995).
Back to Citation
44.
5 U.S.C. 601
et seq.
(1980).
Back to Citati…
80 FR 22021 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit P… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
s) earned in connection with the transactions covered by the exemption.
Back to Citation
7.
67 FR 64137 (October 17, 2002).
Back to Citation
8.
See Advisory Opinion 2011-08A (June 21, 2011).
Back to Citation
9.
This proposal would move the definitions from Section I to Section VII. The other sections are re-ordered…
ERISACourt RulingsSep 27, 1993
…arch
Case Status
DOL Home > OALJ > ERISA > USDOL, PWBA v. Braniff, Inc.,
1992-RIS-25 (ALJ Sept. 25, 1993)
USDOL/OALJ Reporter
USDOL, PWBA v. Braniff, Inc.,
1992-RIS-25 (ALJ Sept. 25, 1993)
U.S. Department of Labor
Office of Administrative Law Judges
800 K Street, NW, Suite 400-N
Washington, DC 20001-8002
DATE ISSUED: S…
81 FR 21139 — Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Be… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
under section 4975 of the Code] is hereby transferred to the Secretary of Labor”).
Back to Citation
9.
29 CFR 2550.408b-2(e); 26 CFR 54.4975-6(a)(5). Back to Citation
10.
See
PTE 86-128, Exemption for Securities Transactions Involving Employee Benefit Plans and Broker-Dealers, 51 FR 41686 (November 18, 1986), as ame…