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Roberta joined the firm in 1992 and concentrates on ERISA's fiduciary responsibility provisions and other laws governing employee benefit plans. She provides advice relating to retirement plan investments and administration to ERISA-covered defined contribution and defined benefit plans, governmental plans (including participant-directed governmental plans), and to plan service providers, including banks, insurance companies, recordkeepers and mutual fund complexes. Roberta also has substantial experience with federal securities and banking laws that may affect retirement plan investments and administration.
Practicing before the Labor Department, Roberta has addressed issues including the use of 12b-1 and similar fees paid by mutual funds, loans by service providers providing unitization services, and synthetic GICs. She regularly assists plan fiduciaries and service providers with participant ERISA disclosure and prohibited transaction issues and with drafting, and negotiation of investment management, investment advice and recordkeeping and insurance agreements.
Two no-action letters from the SEC's Division of Market Regulation obtained by Roberta address whether recordkeepers and other service providers to participant-directed retirement plans are subject to regulation as broker-dealers under federal securities laws. She also provides advice on how federal securities laws apply when employer securities are offered under plans, to non-qualified plans, and to commingled funds and other plan investment vehicles.
Roberta speaks frequently on fiduciary topics before professional groups, including the Fiduciary and Investment Risk Management Association, and the Bank Administration Institute. She is a graduate of the George Washington University School of Law with High Honors. Before attending law school, Roberta served for five years as a military intelligence officer in the U.S. Army, attaining rank of captain.
Roberta is admitted to practice in the District of Columbia.
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