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Financial Services

Our attorneys understand the unique framework of laws, agency regulations and related codes of conduct applicable to employers in the financial services industry. We draw on decades of industry experience to successfully navigate this framework and help our clients achieve their business objectives.


We work with our financial services clients to find solutions and achieve results consistent with their business goals, legal requirements and culture.  Specifically, our clients entrust us to:

  • Defend against single plaintiff and class actions across the U.S. covering a wide range of employment related claims involving whistleblower and retaliation, wage and hour, constructive discharge, discrimination, hostile work environment, health and safety, and all other wrongful termination allegations, as well as claims pursuant to the Dodd-Frank Act and the Sarbanes-Oxley Act;
  • Defend clients in federal and state courts, FINRA and AAA in all aspects of defensive litigation including mediations, arbitrations, trials and the appellate process;
  • Defend against claims brought by government agencies alleging, among other violations, misclassification of employees, independent contractors and interns;
  • Ensure employment and human resource policies and procedures comply with federal regulations and the laws of all 50 states;
  • Conduct preventive measures such as company-wide audits to ensure consistent implementation of employment policies;
  • Advise on the evolving legal requirements applicable to executive compensation and talent management;
  • Provide effective counsel on managing whistleblowers who remain employed;
  • Tactfully conduct investigations and compliance evaluations involving even the highest executive levels of the organization;
  • Assist with managing employees requesting or returning from leaves of absence;
  • Review wage and hour policies and practices for compliance with state and federal laws;
  • Advise on the design of pension, profit sharing, 401(k) and other types of retirement, compensation and welfare benefit plans;
  • Counsel on restrictive covenants in employment agreements, employee raiding claims, unfair competition claims, broker protocol issues and other employment-related business torts;
  • Advise on the effect of NLRB developments on both non-union and union financial services workplaces, including challenges to social networking policies;
  • Advise on compliance with privacy and data security mandates across the country, including compliance with privacy laws;
  • Advise on the design and implementation of compliance policies and ethics codes that comply with all applicable laws and regulations; and
  • Add value for in-house counsel by providing direct, straightforward advice and timely legal updates tailored to the industry.


Venture Capital

Our attorneys realize that venture capital firms operate in a uniquely fast-paced environment requiring entrepreneurial skill, creativity, and understanding of emerging technologies. We know that in the world of venture capital, time is often of the essence for our clients as they raise capital, consider investments, and carry out deals. The day-to-day requirements of running a burgeoning business do not slow down and neither do we. In all of our representations, our goal is to help minimize workplace disruptions so the   focus can remain on enhancing value and maximizing return for investors. With vast experience working with financial sector clients including venture capital firms, and numerous clients in the technology and telecommunications industries, we continue to bring a knowledgeable and business-minded approach to all matters.

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October 19, 2017

Top Five Labor Law Developments for September 2017

October 19, 2017

An employer violated the National Labor Relations Act when it discharged an employee who protested an unlawful confidentiality policy, even though the employee protested without the involvement of any coworkers, the U.S. Court of Appeals for the Second Circuit has held. NLRB v. Long Island Ass’n for AIDS Care, Inc., No. 16-2325 (2d... Read More

October 18, 2017

New York City Council Expands Earned Sick Time Law to Include Safe Time

October 18, 2017

New York City’s Earned Sick Time Act (also known as the Paid Sick Leave Law) will require employers to allow employees to use paid time off for “Safe Time” under an amendment (Int. 1313-A) passed by the New York City Council on October 17, 2017. Under the revised law (the “Earned Safe and Sick Time Act”), employers will be required to... Read More

October 6, 2017

Rhode Island Enacts Paid Sick Leave Law

October 6, 2017

Rhode Island has joined the growing list of states and municipalities that have enacted paid sick leave laws. Under the Healthy and Safe Families and Workplaces Act, signed by Governor Gina Raimondo, employers with at least 18 employees must provide their employees with paid sick leave. The new law goes into effect July 1, 2018.... Read More

Showing 1-3 of 136