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View More ASPPA Benefits Council [ABC] of Dallas/Fort Worth Webcasts and Conferences

Trends in Government Audits and Investigations & When the FBI and DOL Shut Down a Local TPA

ASPPA Benefits Council [ABC] of Dallas/Fort Worth

June 20, 2018
7:30 a.m. - 10:00 a.m.

Part one of this workshop will look at DOL and IRS new enforcement initiatives and provide some real life examples from recent DOL investigations that can help plan sponsors and their service providers better prepare.  Attendees will learn how to identify (and avoid) common areas of investigations and audits, the national vs local priorities and how to navigate the investigation and audit landscape.

The second part of this workshop will detail the planning, collusion and failures that allowed the FBI and DOL Office of the Inspector General to shutter a local TPA.   Questions you should ask yourself and your staff about how to avoid this potential disaster will be covered.  Also multilayered insurance coverage issues will be outlined and how you may unwittingly become a Fiduciary, thereby voiding your E&O.


  • J.K. Nowiejski, JD, QKA with Nova 401(k) Associates
    • J.K. Nowiejski is an attorney specializing in ERISA and Employee Benefits and a former Senior Investigator with the Department of Labor.  He has extensive experience as legal counsel and consultant for retirement plan and health benefit service providers, including third-party administrators and trust companies.
  • Charles Leggette, CEO and Chief Actuary at Dallas Actuaries, Inc.
    • Charles Leggette has been a business owner most of his career, he has also served in executive and advisory positions with various local TPAs and consulting firms, providing him with a unique first-hand perspective into the subject of his segment of this workshop. His past ASPPA positions include president and E&E chair.

Two (2) ASPPA / ARA Continuing Education Credits are available for this program. Application pending for JBEA, ERPA, CPA and Texas Bar Association CLE

Free Parking, Breakfast, Door Prizes.  Bring your personal ASPPA ID and smart phone for quick and easy texting confirmation of credits.

Sponsor:  ASPPA Benefits Council of Dallas-Ft. Worth

Cost: $45 for ASPPA Members, $65 for non-members

Who Should Attend:  ASPPA, CEBS, NAPA, NTSA, benefits attorneys and all other individuals working in the pension field looking for updates on legislative items and professional continuing education credits.

To Register:  Register online at and go to “Upcoming Events”.   RSVP by Monday, June 18, 2018.

Cancellation Policy: If a written request for cancellation is received 5 or more business days before the meeting date, the full registration fee will be refunded minus a nominal processing fee.  After that time the registration fee is not refundable, but can be transferred to another individual up to the time of the meeting, even on site.  No refunds will be given for no-shows.  Please email to request a refund or make changes to your registration.

Sponsors: Thank you to our sponsor, Transamerica for their generous contribution in supporting this event.  

Park City Club
5956 Sherry Lane, Ste. 1700
Dallas, TX 75225

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