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Financial Services

Financial services employers face a unique set of workplace law challenges.

Overview

With significant experience representing employers ranging from multinational investment banks, insurance and accounting companies to start-up hedge funds and private equity firms, our attorneys have a deep understanding of the financial services industry and an established set of best practices to share with our clients.

We regularly provide both preventive counseling and litigation defense for financial services clients. Whether confronted with a legal problem that affects a single location or an entire organization, we collaborate with clients to find solutions consistent with their business needs, legal requirements and culture. Some of the specific services we provide include:

Defending class and collective actions across the U.S. and assisting with preventive measures such as company-wide audits to ensure consistent implementation of pay and promotion policies;

  • Representing financial services clients in mediations and arbitrations in a variety of settings, including FINRA and AAA;
  • Advising on implementing alternative dispute resolution programs and representing clients when plaintiffs challenge these programs in court, including challenges to the enforceability of class action waivers;
  • Reviewing wage and hour policies and practices for compliance with state and federal laws;
  • Representing financial services clients with respect to claims brought by government agencies alleging, among other violations, misclassification of employees, independent contractors and interns;
  • Advising on the design of pension, profit sharing, 401(k) and other types of retirement, compensation and welfare benefit plans;
  • Defending bonus claims brought by bankers, brokers and traders under both contract and quasi-contract theories;
  • Counseling on restrictive covenants in employment agreements, employee raiding claims, unfair competition claims and other employment-related business torts;
  • Advising on the effect of NLRB developments on non-union financial services workplaces, including challenges to social networking policies;
  • Advising on compliance with privacy and data security mandates across the country, including compliance with HIPAA privacy laws;
  • Advising on the design and implementation of compliance policies, including codes of ethics, that comply with the laws of multiple countries;
  • Defending lawsuits under the Dodd-Frank Act and the Sarbanes-Oxley Act; and
  • Counseling on the requirements of the American Recovery and Reinvestment Act of 2009, including restrictions placed on executive bonuses and golden parachute payments.

The Team

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February 23, 2017

New Department of Homeland Security Memos Set Immigration Enforcement Priorities

February 23, 2017

Two memorandums from the Department of Homeland Security implementing President Donald Trump’s Executive Orders on “Enhancing Public Safety in the Interior of the United States” and “Implementing the President’s Border Security and Immigration Enforcement Improvements Policies” establish broad... Read More

February 22, 2017

OSHA Reminds Employers to Post Injury and Illness Summaries

February 22, 2017

The Occupational Safety and Health Administration has reminded employers they must post a copy of the agency’s “Summary of Work-Related Injuries and Illnesses” (Form 300A) summarizing job-related injuries and illnesses logged during 2016. OSHA said that each year, between February 1 and April 30, employers must... Read More

February 21, 2017

Labor Department Nominee’s Opinions as National Labor Relations Board Member

February 21, 2017

R. Alexander Acosta, President Donald Trump’s nominee as the next Secretary of Labor, served on the National Labor Relations Board from December 17, 2002, to August 21, 2003. He was confirmed by the United States Senate on November 22, 2002, having been nominated by President George W. Bush. Acosta, a Republican, served with fellow... Read More

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