Financial Institutions & Advisers

Effective and compliant plan investment and administration doesn’t happen in a vacuum—but with knowledge of and experience with the laws and regulations that dictate retirement plan responsibility on your side, the navigation of these complex processes becomes manageable.

At Groom, we counsel financial institutions and other investment advisers on a host of retirement plan-related issues, giving advice on ERISA and Internal Revenue Code compliance as well as representing clients before government agencies and assisting with audits.

From traditional plans to IRAs to non-ERISA plans, Groom attorneys handle the full range of services and products available in the realm of retirement. Additionally, our lawyers provide expert regulatory guidance in the context of investigations by the Department of Labor.