Tucker Arensberg’s Trust and Investment Management Practice Group provides legal services to institutions and individuals that manage money or wish to manage money and/or offer other fee based services.

Banks, trust companies, insurance companies, brokers and investment counseling firms manage their clients’ money in individual accounts, brokerage accounts, investment management accounts, mutual funds, IRAs, pension and profit sharing accounts, and trust accounts.

Our attorneys understand that these institutions are governed by separate regulators, including the Comptroller of Currency, the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of Thrift Supervision, state banking regulators, state insurance commissioners, the Department of Labor and the Securities and Exchange Commission.

We represent clients in matters involving their regulators and also provide the legal services necessary to develop and maintain their products. This includes counseling, compliance activities, regulatory applications and exemptions, assistance in developing new products and services, and assisting in sales and marketing efforts.

Our attorneys assist investment management clients with all of their legal needs. Our services in this area include interpreting the laws and regulations governing their services generally, litigation and compliance matters and specific advice on particular services and problems which develop day to day. Below is a listing of some of the specific services the Group provides.