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Financial Services

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


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.

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April 28, 2017

union kNOw – April 2017

April 28, 2017

Second ‘Day Without Immigrants’ Protests and Strikes to Take Place on May 1 Building off of what organizers see a successful February 16 ‘Day Without Immigrants,’ a second series of protests and strikes has been scheduled for May 1. For more information on similar recent activities and strategies on how to respond lawfully to the... Read More

April 27, 2017

Preliminary Rules Released for Minneapolis and Saint Paul Sick Leave Ordinances

April 27, 2017

The City of Minneapolis and the City of Saint Paul have issued their preliminary rules regarding their respective safe and sick leave ordinances, which are scheduled to go into effect on July 1, 2017. These preliminary rules provide additional clarity and guidance on how the ordinances will be interpreted and applied. The Minneapolis... Read More

April 27, 2017

Philadelphia Wage History Law Subject to Temporary Court Stay

April 27, 2017

Philadelphia’s Wage History Ordinance may not go into effect as scheduled on May 23, 2017. It is subject to a federal court stay pending resolution of a lawsuit for a preliminary injunction brought by the Chamber of Commerce for Greater Philadelphia.    The Ordinance prohibits employers in Philadelphia from inquiring about... Read More

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