The Presentation: 

• We’ll cover everything you ever wanted to know about missing participants and uncashed checks (and more)!
• You’ll learn about the problems they cause, what guidance exists to deal with them, and best practices you should employ.
• You’ll be regaled with missing participant tales – it will be an emotional whirlwind that will make you laugh and cry.
• Finally, we’ll even tell you how to grow your business with missing participants.
• And, from the DOL perspective:
• 1. Overview of EBSA and our enforcement program
  2. What to expect from an investigation of a 401k plan
  3. Specific Issues that arise with terminated 401k plans
  4. Missing participants in 401k plans
  5. A brief overview of EBSA’s abandoned plan program
  
  

Our Speakers: 

Spiro Preovolos, President, PenChecks

Since joining PenChecks in 2002, Spiro has held several different positions, including Director of Operations, Director of Sales and Marketing, and most recently, Vice President of Strategic Development. This combination of hands-on operational and marketing experience has built a solid foundation for Spiro’s new role as company President, where he will focus more on strategic growth while continuing to oversee the IT, product management and sales and marketing functions. His new responsibilities will also include cultivating strategic partnerships and initiating the development of new products and services to keep the company’s service offerings at the forefront of the rapidly changing retirement plan industry. Most important from a customer service standpoint, Spiro will continue to ensure that PenChecks maintains its current commitment to delivering customized solutions and fast, personalized service.

Spiro earned his Accredited Pension Representative (APR) designation from the National Institute of Pension Administrators (NIPA), and holds a B.A. in Philosophy from the University of Southern California.

James Goldstein, Senior Investigator, Los Angeles Regional Office, Employee Benefits Security Administration, U.S. Department of Labor

James Goldstein is a Senior Investigator with the US Department of Labor, Employee Benefits Security Administration, Los Angeles Regional Office.  During his seventeen years with the agency, he has worked on many large civil and criminal investigations involving single-employer and multi-employer sponsored pension and welfare plans.  Mr. Goldstein is a graduate of the University of California, Berkeley and the University of the Pacific, McGeorge School of Law, where he received an American Jurisprudence Award in Constitutional Law and earned a JD with honors. In 2012 he served as an adjunct professor at Southwestern Law School, where he co-taught a course in employee benefits law sponsored by the Department of Labor.  He is a member of the California Bar.

Continuing Education: 

• 2 CE for AIF Certification (pending)
• 2 CE for ASPPA certifications
  
• 2 CEC for NIPA certifications
  
• 2 CPE for CEBS
  
• 1.75 hours MCLE for California attorneys
  
• 2 hours for California CPAs
  
• 2 hours for Certified Financial Planners (pending)
• 2 hour for ERPA and Enrolled Agents 
• 2 CE JBEA certifications

A Special Thank You to Our Sponsors