U.S. Code » Title 29 » Chapter CHAPTER 18— EMPLOYEE RETIREMENT INCOME SECURITY PROGRAM › Subchapter SUBCHAPTER I— PROTECTION OF EMPLOYEE BENEFIT RIGHTS › Subtitle Subtitle B— Regulatory Provisions › Part part 5— administration and enforcement

29 U.S.C. § 1131

Criminal penalties

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(a) Any person who willfully violates any provision of part 1 of this subtitle, or any regulation or order issued under any such provision, shall upon conviction be fined not more than $100,000 or imprisoned not more than 10 years, or both; except that in the case of such violation by a person not an individual, the fine imposed upon such person shall be a fine not exceeding $500,000.(b) Any person that violates section 1149 of this title shall upon conviction be imprisoned not more than 10 years or fined under title 18, or both.(Pub. L. 93–406, title I, § 501, Sept. 2, 1974, 88 Stat. 891; Pub. L. 107–204, title IX, § 904, July 30, 2002, 116 Stat. 805; Pub. L. 111–148, title VI, § 6601(b), Mar. 23, 2010, 124 Stat. 779.)Editorial NotesAmendments

2010—Pub. L. 111–148 designated existing provisions as subsec. (a) and added subsec. (b).

2002—Pub. L. 107–204 substituted “$100,000” for “$5,000”, “10 years” for “one year”, and “$500,000” for “$100,000”.

Statutory Notes and Related SubsidiariesRegulations

Secretary authorized, effective Sept. 2, 1974, to promulgate regulations wherever provisions of this subchapter call for the promulgation of regulations, see section 1031 of this title.

Notes of Decisions
Cited in 67 cases (10 in the last 5 years), 1978–2025 · leading case: United States v. Thermon Phillips, E.B. Rich, Usx Corp. A/K/A United States Steel Corp., 19 F.3d 1565 (11th Cir. 1994).
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United States v. Thermon Phillips, E.B. Rich, Usx Corp. A/K/A United States Steel Corp., 19 F.3d 1565 (11th Cir. 1994). · cites it 6× “In addition, the jury found the steel producer guilty under ERISA’s criminal enforcement provision, 29 U.S.C. § 1131 (1988), for failing to notify the pension plan’s participants of the change in their pension plan.”
Massachusetts Mut. Life Ins. v. Russell, 473 U.S. 134 (1985). · cites it 2× “891 , 29 U. S. C. § 1131 . Part 1 of the subtitle, which consists of §§ 101-111, imposes elaborate reporting and disclosure requirements on plan administrators.”
Pilot Life Ins. v. Dedeaux, 481 U.S. 41 (1987). “Section 501, 29 U. S. C. § 1131 , authorizes criminal penalties for violations of the reporting and disclosure provisions of ERISA.”
New York State Conf. of Blue Cross & Blue Shield Plans v. Travelers Ins., 514 U.S. 645 (1995). “§§501-515, 29 U. S. C. §§ 1131— 1145. It also pre-empts some state law.”
In Re Komet, 104 B.R. 799 (Bankr. W.D. Tex. 1989). · cites it 3× “29 U.S.C. §§ 1131 , 1132(a)(5). 6 A substantial portion of the enforcement of ERISA (including the enforcement of the requirement that private employee pension benefit plans contain anti-alienation language) has been entrusted to the Secretary of the Treasury.”
HealthAmerica v. Menton, 551 So. 2d 235 (Ala. 1989). · cites it 2× “Section 501, 29 U.S.C. § 1131 , authorizes criminal penalties for violations of the reporting and disclosure provisions of ERISA.”
In Re Marriage of Campa, 89 Cal. App. 3d 113 (Cal. Ct. App. 1979). · cites it 2× “( 29 U.S.C. § 1131 et seq.) — It makes tax changes, among them the creation of tax incentives for the establishment of individual retirement accounts.”
New York Dist. Council of Carpenters Pension Fund v. Forde, 939 F. Supp. 2d 268 (S.D.N.Y. 2013). · cites it 2× “Finally, even under 29 U.S.C. § 1131 (1)(B), Plaintiffs would not be barred.”
Almont Ambulatory Surgery Ctr., LLC v. UnitedHealth Grp., Inc., 99 F. Supp. 3d 1110 (C.D. Cal. 2015). “C ¶ 1085(a)); “[t]he United Defendants used arbitrary, capricious and improper methods to improperly deny or underpay Plaintiffs’ claims” (idA 1085(c)); and “[t]he United Defendants willfully violated numerous provisions of ERISA, as detailed in this complaint and Appendix A, at…”
The Taggart Corp. v. Life & Health Benefits Admin., Inc., 617 F.2d 1208 (5th Cir. 1980). “29 U.S.C.A. § 1131 (West 1975). No such anomalous result is required on the facts of this case.”
Burton v. Colorado Access, 2018 CO 11 (Colo. 2018). “29 U.S.C. § 1131 (a) (2016) (emphases added).”
S. Elec. Health Fund v. Kelley, 308 F. Supp. 2d 847 (M.D. Tenn. 2003). · cites it 2× “Attorney fees Plaintiffs request attorneys fees under 29 U.S.C. §§ 1131 (g)(1) and 1131(g)(2). The latter provision provides: in any civil action by a fiduciary for or on behalf of a plan to enforce section 1145 .”
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