|9-135.020||Investigative and Supervisory Jurisdiction|
9-135.010 - Introduction
The Employee Retirement Income Security Act (ERISA) regulates employee pension and welfare benefit plans in the private sector of the economy. Crimes within title I of ERISA prohibit convicted persons from being employed by such plans (29 U.S.C. § 1111), punish the willful failure to comply with the reporting and disclosure requirements of the statute (29 U.S.C. § 1131(a)), punish knowing false statements in connection with the marketing or sale of multiple employer welfare arrangements (29 U.S.C. § 1131(b) and § 1149), and proscribe the use of fraud or actual or threatened violence to deprive plan participants and beneficiaries of their rights under the statute or the plan (29 U.S.C. § 1141).
[updated January 2020]
9-135.020 - Investigative and Supervisory Jurisdiction
Supervisory jurisdiction over ERISA violations rests with the Labor-Management Unit, Organized Crime and Gang Section.
Investigative jurisdiction for criminal violations within title I of ERISA is assigned to the Department of Labor and the Federal Bureau of Investigation (FBI). Pursuant to a Memorandum of Understanding dated February 9, 1975, entered into between the Departments of Justice and Labor, the FBI has the authority to investigate violations of 29 U.S.C. § 1111 (prohibition against holding office in or being employed by a benefit plan after conviction of certain crimes) and 29 U.S.C. § 1141 (use of fraud or force to interfere with benefit plan rights). The Department of Labor investigates violations of 29 U.S.C. § 1131(a) (reporting, disclosure, and retention of records by benefit plans). The Memorandum of Understanding permits different arrangements with respect to criminal investigations of those crimes to be made by the Departments of Justice and Labor on a case-by-case basis. Pursuant to 29 U.S.C. § 1134, the Department of Labor is authorized to investigate violations of 29 U.S.C. § 1131(b) and § 1149 (knowing false statements in connection with the marketing or sale of multiple employer welfare arrangements) which was enacted as part of the Patient Protection and Affordable Care Act, Sec. 6601; 124 Stat. 779 (2010).
[updated January 2020]