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News Brief

Solis v. Thomas Keating involving failure to forward contributions to Mitchellace Inc. Employee Flexible Benefits Plan

Date of Action:  May 12, 2011

Type of Action:  Complaint

Name(s) of Defendant: Thomas Keating, individually and as a trustee to the Mitchellace Inc. Employee Flexible Benefits Plan located in Portsmouth, Ohio.

Allegations: During the period of Nov. 5, 2008, to June 10, 2009, defendant Keating caused Mitchellace to withhold $14,615.94 from employees’ pay in employee health premium contributions and failed to forward them to the Plan.

Keating, in his capacity as chief financial officer and treasurer of Mitchellace Inc. caused the funds to be retained in the company’s general funds.

Resolution: The Department of Labor is asking the court to order Keating to correct the prohibited transactions and make good to the Plan any losses, including lost interest, resulting from fiduciary breaches committed by him.

The suit also seeks to permanently enjoin Keating from acting as a fiduciary or service provider with respect to any employee benefit plan subject to the Employee Retirement Income Security Act.

It is requested that an independent fiduciary be appointed to administer and if necessary terminate the Plan and to set off Keating’s individual plan account, if any, against the amount of plan losses.

Keating filed for Chapter 7 personal bankruptcy in the Southern District of Ohio, April 12, 2010. The case is pending.

Court: United States District Court for the Southern District of Ohio, Cincinnati, Ohio

Docket Number: 1:11-cv-00308

Employers and workers can reach EBSA toll-free at 866-444-3272 for help with problems related to private sector retirement and health plans.  Additional information can be found at

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U.S. Department of Labor materials are accessible at  The information above is available in large print, Braille, audio tape or disc from the COAST office upon request by calling 202-693-7828 or TTY 202-693-7755.

Employee Benefits Security Administration
May 12, 2011
Release Number