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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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March 22, 2017

Senate HELP Committee Holds Confirmation Hearing for Nominee Acosta to Head Labor Department

March 22, 2017

The Senate Health, Labor and Pensions (HELP) Committee on March 22, 2017, held confirmation hearings on the nomination of R. Alexander Acosta, President Donald Trump’s pick for Secretary of Labor. Acosta was introduced by Senators Marco Rubio and Ted Cruz, both of whom have known Acosta for years. Rubio described Acosta as... Read More

March 21, 2017

Supreme Court Rules President’s Power to Make Temporary Appointments is Limited

March 21, 2017

Former National Labor Relations Board Acting General Counsel Lafe Solomon’s continuing to serve as Acting NLRB General Counsel after President Barack Obama nominated him to the General Counsel position violated the Federal Vacancies Reform Act of 1998, the U.S. Supreme Court has decided in a 6-2 decision. National Labor Relations... Read More

March 16, 2017

Arizona’s Voter-Approved Minimum Wage, Paid Sick Leave Law Constitutional, State High Court Affirms

March 16, 2017

In a much-anticipated decision, the Arizona Supreme Court has unanimously ruled to uphold Proposition 206, the November 2016 ballot initiative that increases the Arizona minimum wage and requires employers in the state to offer paid sick leave to employees. Chief Justice Scott Bales stated in the March 14 order that the seven-member... Read More

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