Richard K. Matta

Rick Matta came to Groom because, as he recalls, “I knew many of the firm’s attorneys personally or by reputation and knew that Groom was the ‘benchmark’ against which other firms compared themselves.”  Now a Principal at the firm, Rick has focused his practice on ERISA Title I and related tax, corporate and securities laws in connection with the structuring and marketing of investment products and financial services to employee benefit plans.

“The work I do is interesting, challenging, and stimulating,” Rick says.  “We are the benefits attorneys other beneftis lawyers (and other law firms) turn to with their most difficult issues.”  Rick has extensive experience helping financial institutions—including banks, registered investment advisers, broker-dealers, pension consultants and insurance companies–with their most difficult issues, particularly with respect to regulated investment products such as mutual funds, common and collective trust funds (including the formation of trust companies), derivatives,  insurance products and IRAs. He also advises vendors and plan fiduciaries on the delivery of financial services including vendor alliances , investment advice, ERISA section 404(c) compliance, securities brokerage/trading issues, and Internet delivery.  In addition, Rick advises clients on institutional investment matters involving real estate (including REITs), venture capital, hedge funds, credit facilities, asset-backed securities, and similar private transactions of pension plans and other tax-exempt investors.  He has represented clients with respect to more than 50 prohibited transaction exemptions and advisory opinions before the Department of Labor.

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