Caitlin, Senior Counsel in Groom’s Fiduciary practice, primarily advises financial institutions, broker-dealers, and investment advisors on their obligations under federal securities laws, retirement laws and self-regulatory organizations, including Financial Industry Regulatory Authority (“FINRA”). She advises pension plans, pension investment consultants, and investment managers in negotiating ERISA plan investments in private equity funds, hedge funds, collective investment trusts, separately managed accounts, and other investment vehicles.
Before joining Groom, Caitlin worked for two prominent financial institutions. Additionally, during her tenure at an Am Law 200 law firm, she also represented and defended financial institution clients in investigation and enforcement matters involving the SEC and state regulators.
