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…
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
hundred dollars (
,500). (JX
5a - 5d) Thus, the August 17, 1993 notices of determination
assessed a one thousand dollar (
,000) penalty for each late filing, or four thousand dollars ($4,000) in total penalties. On
September 17, 1993, Respondent filed an answer contesting the
August 17, 1993 notices of determination i…
ERISACourt RulingsAug 25, 1995★ strong match
… Case Number Searches
DMS Search
Case Status
DOL Home > OALJ > ERISA > USDOL, PWBA v. T.W. Taggert,
1993-RIS-18 (ALJ Aug. 25, 1995)
USDOL/OALJ Reporter
USDOL, PWBA v. T.W. Taggert, 1993-RIS-18
(ALJ Aug. 25, 1995)
DATE: AUGUST 25, 1995
In the Matter of
UNITED STATES DEPARTMENT OF LABOR,
Pension and Welfare Benefits Admi…
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…
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
proposal and updated economic analysis. The first proposed amendment to the rule was withdrawn on April 20, 2015,
see80 FR 21927.
Back to Citation
10. Subsequent to the issuance of these regulations, Reorganization Plan No. 4 of 1978, 5 U.S.C. App. (2010), divided rulemaking and interpretive authority between the Secr…
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
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 28, 1995★ strong match
…ee TR 5,6,131).
[3] The Notice of Rejection was sent by certified mail to the
Respondent on July 9, 1993. The return receipt slip was signed
by Julie Anders on July 12, 1993. (CX-2).
[4] Complainant has had authority under ERISA Section 502(c)(2)
since 1987 (beginning with plan year 1988) to assess civil
penalties for …
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…
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…
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 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…
ERISARegulationsJan 1, 2017related by meaning
(c) (c) To the extent that prior opinions and interpretations relating to 13(c) are inconsistent with the principles stated in this part, they are hereby rescinded and withdrawn.
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 …
76 FR 66136 — Investment Advice-Participants and Beneficiaries ERISAFinal Rules (FR)Oct 25, 2011related by meaning
001-09A (December 14, 2001); and AO 97-15A (May 22, 1997).
Back to Citation
5.
Public Law 109-280, 120 Stat. 780 (Aug. 17, 2006).
Back to Citation
6. Under Reorganization Plan No. 4 of 1978 (43 FR 47713, Oct. 17, 1978), 5 U.S.C. App. 1, 92 Stat. 3790, the authority of the Secretary of the Treasury to issue rulings un…
ERISADOL Technical ReleasesMay 8, 1991related by meaning
public inspection in the EBSA Public Disclosure Room, N-1515, 200 Constitution Avenue, N.W., Washington, D.C. 20210.
Paperwork Reduction Act Statement According to the Paperwork Reduction Act of 1995 (Pub. L. 104-13) (PRA), no persons are required to respond to a collection of information unless such collection display…
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
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…
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…
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…