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29 U.S.C. § 1111 — Persons prohibited from holding certain positions
Federal law — U.S. Code and appendices · legal_authorities
**(a) Conviction or imprisonment** No person who has been convicted of, or has been imprisoned as a result of his conviction of, robbery, bribery, extortion, embezzlement, fraud, grand larceny, burglary, arson, a felony violation of Federal or State law involving substances defined in [section 802(6) of title 21](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title21-section802/6&num=0&edition=prelim), murder, rape, kidnaping, perjury, assault with intent to kill, any crime described in [section 80a–9(a)(1) of title 15](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80a–9/a/1&num=0&edition=prelim), a violation of any provision of this chapter, a violation of [section 186 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section186&num=0&edition=prelim), a violation of chapter 63 of title 18, a violation of section 874, 1027, 1503, 1505, 1506, 1510, 1951, or 1954 of title 18, a violation of the Labor-Management Reporting and Disclosure Act of 1959 ([29 U.S.C. 401](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section401&num=0&edition=prelim)), any felony involving abuse or misuse of such person’s position or employment in a labor organization or employee benefit plan to seek or obtain an illegal gain at the expense of the members of the labor organization or the beneficiaries of the employee benefit plan, or conspiracy to commit any such crimes or attempt to commit any such crimes, or a crime in which any of the foregoing crimes is an element, shall serve or be permitted to serve—
(1) as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, employee, or representative in any capacity of any employee benefit plan,
(2) as a consultant or adviser to an e
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Source file: Laws/federal/codes/united-states-code/title-29/section-1111-persons-prohibited-from-holding-certain-positions--dc52e11697.md
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Source location: Title 29, Chapter 18, § 1111; chapter-018-employee-retirement-income-security-program.md
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**(a) Conviction or imprisonment** No person who has been convicted of, or has been imprisoned as a result of his conviction of, robbery, bribery, extortion, embezzlement, fraud, grand larceny, burglary, arson, a felony violation of Federal or State law involving substances defined in [section 802(6) of title 21](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title21-section802/6&num=0&edition=prelim), murder, rape, kidnaping, perjury, assault with intent to kill, any crime described in [section 80a–9(a)(1) of title 15](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80a–9/a/1&num=0&edition=prelim), a violation of any provision of this chapter, a violation of [section 186 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section186&num=0&edition=prelim), a violation of chapter 63 of title 18, a violation of section 874, 1027, 1503, 1505, 1506, 1510, 1951, or 1954 of title 18, a violation of the Labor-Management Reporting and Disclosure Act of 1959 ([29 U.S.C. 401](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section401&num=0&edition=prelim)), any felony involving abuse or misuse of such person’s position or employment in a labor organization or employee benefit plan to seek or obtain an illegal gain at the expense of the members of the labor organization or the beneficiaries of the employee benefit plan, or conspiracy to commit any such crimes or attempt to commit any such crimes, or a crime in which any of the foregoing crimes is an element, shall serve or be permitted to serve—
(1) as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, employee, or representative in any capacity of any employee benefit plan,
(2) as a consultant or adviser to an employee benefit plan, including but not limited to any entity whose activities are in whole or substantial part devoted to providing goods or services to any employee benefit plan, or
(3) in any capacity that involves decisionmaking authority or custody or control of the moneys, funds, assets, or property of any employee benefit plan,
during or for the period of thirteen years after such conviction or after the end of such imprisonment, whichever is later, unless the sentencing court on the motion of the person convicted sets a lesser period of at least three years after such conviction or after the end of such imprisonment, whichever is later, or unless prior to the end of such period, in the case of a person so convicted or imprisoned (A) his citizenship rights, having been revoked as a result of such conviction, have been fully restored, or (B) if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, the United States district court for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements under [section 994(a) of title 28](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title28-section994/a&num=0&edition=prelim), determines that such person’s service in any capacity referred to in paragraphs (1) through (3) would not be contrary to the purposes of this subchapter. Prior to making any such determination the court shall hold a hearing and shall give notice to 11 So in original. Probably should be “of”. such proceeding by certified mail to the Secretary of Labor and to State, county, and Federal prosecuting officials in the jurisdiction or jurisdictions in which such person was convicted. The court’s determination in any such proceeding shall be final. No person shall knowingly hire, retain, employ, or otherwise place any other person to serve in any capacity in violation of this subsection. Notwithstanding the preceding provisions of this subsection, no corporation or partnership will be precluded from acting as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, or employee of any employee benefit plan or as a consultant to any employee benefit plan without a notice, hearing, and determination by such court that such service would be inconsistent with the intention of this section.
**(b) Penalty** Any person who intentionally violates this section shall be fined not more than $10,000 or imprisoned for not more than five years, or both.
**(c) Definitions** For the purpose of this section—
(1) A person shall be deemed to have been “convicted” and under the disability of “conviction” from the date of the judgment of the trial court, regardless of whether that judgment remains under appeal.
(2) The term “consultant” means any person who, for compensation, advises, or represents an employee benefit plan or who provides other assistance to such plan, concerning the establishment or operation of such plan.
(3) A period of parole or supervised release shall not be considered as part of a period of imprisonment.
**(d) Salary of person barred from employee benefit plan office during appeal of conviction** Whenever any person—
(1) by operation of this section, has been barred from office or other position in an employee benefit plan as a result of a conviction, and
(2) has filed an appeal of that conviction,
any salary which would be otherwise due such person by virtue of such office or position, shall be placed in escrow by the individual or organization responsible for payment of such salary. Payment of such salary into escrow shall continue for the duration of the appeal or for the period of time during which such salary would be otherwise due, whichever period is shorter. Upon the final reversal of such person’s conviction on appeal, the amounts in escrow shall be paid to such person. Upon the final sustaining of that person’s conviction on appeal, the amounts in escrow shall be returned to the individual or organization responsible for payments of those amounts. Upon final reversal of such person’s conviction, such person shall no longer be barred by this statute 22 So in original. Probably should be “section”. from assuming any position from which such person was previously barred.
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Benefit plans as affecting interstate commerce and the Federal taxing power** The Congress finds that the growth in size, scope, and numbers of employee benefit plans in recent years has been rapid and substantial; that the operational scope and economic impact of such plans is increasingly interstate; that the continued well-being and security of millions of employees and their dependents are directly affected by these plans; that they are affected with a national public interest; that they have become an important factor affecting the stability of employment and the successful development of industrial relations; that they have become an important factor in commerce because of the interstate character of their activities, and of the activities of their participants, and the employers, employee organizations, and other entities by which they are established or maintained; that a large volume of the activities of such plans are carried on by means of the mails and instrumentalities of interstate commerce; that owing to the lack of employee information and adequate safeguards concerning their operation, it is desirable in the interests of employees and their beneficiaries, and to provide for the general welfare and the free flow of commerce, that disclosure be made and safeguards be provided with respect to the establishment, operation, and administration of such plans; that they substantially affect the revenues of the United States because they are afforded preferential Federal tax treatment; that despite the enormous growth in such plans many employees with long years of employment are losing anticipated retirement benefits owing to the lack of vesting provisions in such plans; that owing to the inadequacy of current minimum standards, the soundness and stabilit
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1001
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Membership in Communist Party; persons convicted of robbery, bribery, etc.** No person who is or has been a member of the Communist Party or who has been convicted of, or served any part of a prison term resulting from his conviction of, robbery, bribery, extortion, embezzlement, grand larceny, burglary, arson, violation of narcotics laws, murder, rape, assault with intent to kill, assault which inflicts grievous bodily injury, or a violation of subchapter III or IV of this chapter 11 So in original. Probably should be followed by a comma. any felony involving abuse or misuse of such person’s position or employment in a labor organization or employee benefit plan to seek or obtain an illegal gain at the expense of the members of the labor organization or the beneficiaries of the employee benefit plan, or conspiracy to commit any such crimes or attempt to commit any such crimes, or a crime in which any of the foregoing crimes is an element, shall serve or be permitted to serve—
(1) as a consultant or adviser to any labor organization,
(2) as an officer, director, trustee, member of any executive board or similar governing body, business agent, manager, organizer, employee, or representative in any capacity of any labor organization,
(3) as a labor relations consultant or adviser to a person engaged in an industry or activity affecting commerce, or as an officer, director, agent, or employee of any group or association of employers dealing with any labor organization, or in a position having specific collective bargaining authority or direct responsibility in the area of labor-management relations in any corporation or association engaged in an industry or activity affecting commerce, or
(4) in a position which entitles its occupant to a share of the proceeds of
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 504
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Federal law — U.S. Code and appendices · legal_authorities
**(a) In General.—** Except as otherwise specifically provided, a defendant who has been found guilty of an offense described in any Federal statute, including sections 13 and 1153 of this title, other than an Act of Congress applicable exclusively in the District of Columbia or the Uniform Code of Military Justice, shall be sentenced in accordance with the provisions of this chapter so as to achieve the purposes set forth in subparagraphs (A) through (D) of section 3553(a)(2) to the extent that they are applicable in light of all the circumstances of the case.
**(b) Individuals.—** An individual found guilty of an offense shall be sentenced, in accordance with the provisions of section 3553, to—
(1) a term of probation as authorized by subchapter B;
(2) a fine as authorized by subchapter C; or
(3) a term of imprisonment as authorized by subchapter D.
A sentence to pay a fine may be imposed in addition to any other sentence. A sanction authorized by section 3554, 3555, or 3556 may be imposed in addition to the sentence required by this subsection.
**(c) Organizations.—** An organization found guilty of an offense shall be sentenced, in accordance with the provisions of section 3553, to—
(1) a term of probation as authorized by subchapter B; or
(2) a fine as authorized by subchapter C.
A sentence to pay a fine may be imposed in addition to a sentence to probation. A sanction authorized by section 3554, 3555, or 3556 may be imposed in addition to the sentence required by this subsection.
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Payment or lending, etc., of money by employer or agent to employees, representatives, or labor organizations** It shall be unlawful for any employer or association of employers or any person who acts as a labor relations expert, adviser, or consultant to an employer or who acts in the interest of an employer to pay, lend, or deliver, or agree to pay, lend, or deliver, any money or other thing of value—
(1) to any representative of any of his employees who are employed in an industry affecting commerce; or
(2) to any labor organization, or any officer or employee thereof, which represents, seeks to represent, or would admit to membership, any of the employees of such employer who are employed in an industry affecting commerce; or
(3) to any employee or group or committee of employees of such employer employed in an industry affecting commerce in excess of their normal compensation for the purpose of causing such employee or group or committee directly or indirectly to influence any other employees in the exercise of the right to organize and bargain collectively through representatives of their own choosing; or
(4) to any officer or employee of a labor organization engaged in an industry affecting commerce with intent to influence him in respect to any of his actions, decisions, or duties as a representative of employees or as such officer or employee of such labor organization.
**(b) Request, demand, etc., for money or other thing of value**
(1) It shall be unlawful for any person to request, demand, receive, or accept, or agree to receive or accept, any payment, loan, or delivery of any money or other thing of value prohibited by subsection (a).
(2) It shall be unlawful for any labor organization, or for any person acting as an officer, agent, representat
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 186
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Choice of Plan.—** Each United States district court, with the approval of the judicial council of the circuit, shall place in operation throughout the district a plan for furnishing representation for any person financially unable to obtain adequate representation in accordance with this section. Representation under each plan shall include counsel and investigative, expert, and other services necessary for adequate representation. Each plan shall provide the following:
(1) Representation shall be provided for any financially eligible person who—
(A) is charged with a felony or a Class A misdemeanor;
(B) is a juvenile alleged to have committed an act of juvenile delinquency as defined in [section 5031 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section5031&num=0&edition=prelim);
(C) is charged with a violation of probation;
(D) is under arrest, when such representation is required by law;
(E) is charged with a violation of supervised release or faces modification, reduction, or enlargement of a condition, or extension or revocation of a term of supervised release;
(F) is subject to a mental condition hearing under chapter 313 of this title;
(G) is in custody as a material witness;
(H) is entitled to appointment of counsel under the sixth amendment to the Constitution;
(I) faces loss of liberty in a case, and Federal law requires the appointment of counsel; or
(J) is entitled to the appointment of counsel under [section 4109 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section4109&num=0&edition=prelim).
(2) Whenever the United States magistrate judge or the court determines that the interests of justice so require, representation may be provided for any f
Source: Supplied U.S. Code snapshot — release unconfirmed · 18 U.S.C. § 3006A
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Standards for labor-management relations** The Congress finds that, in the public interest, it continues to be the responsibility of the Federal Government to protect employees’ rights to organize, choose their own representatives, bargain collectively, and otherwise engage in concerted activities for their mutual aid or protection; that the relations between employers and labor organizations and the millions of workers they represent have a substantial impact on the commerce of the Nation; and that in order to accomplish the objective of a free flow of commerce it is essential that labor organizations, employers, and their officials adhere to the highest standards of responsibility and ethical conduct in administering the affairs of their organizations, particularly as they affect labor-management relations.
**(b) Protection of rights of employees and the public** The Congress further finds, from recent investigations in the labor and management fields, that there have been a number of instances of breach of trust, corruption, disregard of the rights of individual employees, and other failures to observe high standards of responsibility and ethical conduct which require further and supplementary legislation that will afford necessary protection of the rights and interests of employees and the public generally as they relate to the activities of labor organizations, employers, labor relations consultants, and their officers and representatives.
**(c) Necessity to eliminate or prevent improper practices** The Congress, therefore, further finds and declares that the enactment of this chapter is necessary to eliminate or prevent improper practices on the part of labor organizations, employers, labor relations consultants, and their officers and representatives whic
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 401
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Federal law — U.S. Code and appendices · legal_authorities
**(a)** Any person who is a fiduciary with respect to a plan who breaches any of the responsibilities, obligations, or duties imposed upon fiduciaries by this subchapter shall be personally liable to make good to such plan any losses to the plan resulting from each such breach, and to restore to such plan any profits of such fiduciary which have been made through use of assets of the plan by the fiduciary, and shall be subject to such other equitable or remedial relief as the court may deem appropriate, including removal of such fiduciary. A fiduciary may also be removed for a violation of [section 1111 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1111&num=0&edition=prelim).
**(b)** No fiduciary shall be liable with respect to a breach of fiduciary duty under this subchapter if such breach was committed before he became a fiduciary or after he ceased to be a fiduciary.
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1109
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Federal law — U.S. Code and appendices · legal_authorities
Page 530
TITLE 29—LABOR
§ 1111
1 So in original. Probably should be ‘‘of’’.
losses occurring by reason of the act or omis-
sion of a fiduciary, if such insurance permits
recourse by the insurer against the fiduciary
in the case of a breach of a fiduciary obliga-
tion by such fiduciary;
(2) a fiduciary from purchasing insurance to
cover liability under this part from and for his
own account; or
(3) an employer or an employee organization
from purchasing insurance to cover potential
liability of one or more persons who serve in a
fiduciary capacity with regard to an employee
benefit plan.
(Pub. L. 93–406, title I, § 410, Sept. 2, 1974, 88 Stat.
886.)
§ 1111. Persons prohibited from holding certain
positions
(a) Conviction or imprisonment
No person who has been convicted of, or has
been imprisoned as a result of his conviction of,
robbery,
bribery,
extortion,
embezzlement,
fraud, grand larceny, burglary, arson, a felony
violation of Federal or State law involving sub-
stances defined in section 802(6) of title 21, mur-
der, rape, kidnaping, perjury, assault with in-
tent to kill, any crime described in section
80a–9(a)(1) of title 15, a violation of any provi-
sion of this chapter, a violation of section 186 of
this title, a violation of chapter 63 of title 18, a
violation of section 874, 1027, 1503, 1505, 1506, 1510,
1951, or 1954 of title 18, a violation of the Labor-
Management Reporting and Disclosure Act of
1959 (29 U.S.C. 401), any felony involving abuse or
misuse of such person’s position or employment
in a labor organization or employee benefit plan
to seek or obtain an illegal gain at the expense
of the members of the labor organization or the
beneficiaries of the employee benefit plan, or
conspiracy to commit any such crimes or
Source: Supplied 2024 U.S. Code historical extraction · 29 U.S.C. § 1111
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Federal law — U.S. Code and appendices · legal_authorities
Page 118
TITLE 29—LABOR
§ 401
Section 308c, Pub. L. 85–836, § 12, as added Pub. L.
87–420, § 16(a), Mar. 20, 1962, 76 Stat. 38, related to reli-
ance on administrative interpretations and forms. See
section 1028 of this title.
Section 308d, Pub. L. 85–836, § 13, as added Pub. L.
87–420, § 16(a), Mar. 20, 1962, 76 Stat. 39, related to bond-
ing requirements. See section 1112 of this title.
Section 308e, Pub. L. 85–836, § 14, as added Pub. L.
87–420, § 16(a), Mar. 20, 1962, 76 Stat. 40, related to estab-
lishment, membership, duties, etc., of Advisory Council
on Employee Welfare and Pension Benefit Plans. See
section 1142 of this title.
Section 308f, Pub. L. 85–836, § 15, as added Pub. L.
87–420, § 16(a), Mar. 20, 1962, 76 Stat. 41, related to ad-
ministration of provisions of chapter. See section 1137
of this title.
Section 309, Pub. L. 85–836, § 16, formerly § 10, Aug. 28,
1958, 72 Stat. 1002, renumbered and amended Pub. L.
87–420, § 16(a), (b), Mar. 20, 1962, 76 Stat. 38, 41, related to
effect of other laws on provisions of this chapter. See
section 1144 of this title.
Statutory Notes and Related Subsidiaries
EFFECTIVE DATE OF REPEAL
Repeal effective Jan. 1, 1975, except that chapter to
remain applicable to any conduct and events which oc-
curred before Jan. 1, 1975, see section 1031 of this title.
The Secretary of Labor was empowered, in the case of
a plan which has a plan year which begins before Jan.
1, 1975, and ends after Dec. 31, 1974, to postpone by regu-
lation the effective date of the repeal of any provision
of this chapter until the beginning of the first plan
year of such plan which begins after Jan. 1, 1975, pursu-
ant to section 1031(b)(2) of this title.
CHAPTER 11—LABOR-MANAGEMENT
REPORTING AND DISCLOSURE PROCEDURE
SUBCHAPTER I—
Source: Supplied 2024 U.S. Code historical extraction · 29 U.S.C. § 401
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