people in a row

The Investment Management and Fiduciary Services Practice Group provides one-stop shopping for wealth managers including, banks, trust companies, investment advisors, brokers and insurance companies.  We also serve as expert witnesses on fiduciary cases.

We have brought together, in a single practice group, experienced attorneys who can readily identify issues affecting wealth managers and quickly respond to their unique needs.

We provide advice on:

  • Individual accounts
  • Brokerage accounts
  • Investment management accounts
  • Mutual funds
  • Retirement accounts
  • Fiduciary accounts

Wealth managers conduct their business in a complex and multi-faceted regulatory environment that is governed by the many statutes and regulations that affect their activities.  We help our clients to navigate in this complex regulatory environment.

We have experience in:

  • Comptroller of Currency Regulation 9
  • Federal banking laws
  • Federal securities laws
  • ERISA
  • State statutes including:
    • Uniform Probate Code
    • Uniform Prudent Investor Act
    • Uniform Principal and Income Act
    • Uniform Trust Code

Our attorneys have experience dealing with regulators who supervise wealth managers, including:

  • Comptroller of the Currency
  • Federal Reserve Board
  • Federal Deposit Insurance Corporation
  • State banking regulators
  • State insurance commissioners
  • Department of Labor
  • Securities & Exchange Commission

Our expertise includes:

  • Client counseling
  • Compliance activities
  • Seeking exemptions
  • Assistance in developing new products and service
  • Assisting in sales and marketing efforts
  • Developing risk management and compliance programs
  • Developing policies and procedures
  • Conducting legal audits