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  1. Dalai Pookah
    A client terminates her DB plan (non-PBGC) and proceeds to transfer all of the assets to her IRA. After informing her that she must return the funds over and above her accrued benefit, she refuses. Participants have not been paid out and the amount transferred exceeds her §415 limit. If the situation persists, what are our obligations and duties with respect to the client and how should we proceed. As I see it, we could withdraw and not perform further services to the plan. correctly fill out final Form 5500, knowing it will prompt an audit. report the failure to the DOL as a criminal fiduciary 1 and 3. 2 and 3. Do professional designations affect the result? Thoughts?
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