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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.

Venture Capital

Venture capital firms operate in a uniquely fast-paced environment requiring entrepreneurial skill, creativity, and understanding of emerging technologies. We realize that, in the world of venture capital, time is often of the essence as you raise capital, consider investments, and carry out deals. At the same time, the day-to-day requirements of running a burgeoning business do not slow down. In all our representations, our goal is to help you minimize workplace disruptions so you can focus on enhancing value and maximizing return for your investors. With vast experience working with financial sector clients including venture capital firms, as well as numerous clients in the technology and telecommunications industries, we bring a business-minded approach to all matters.

Some of the specific workplace law services we provide to venture capital clients include:

  • Ensuring compliance with federal and state EEO, disability, safety, and other labor and employment laws;
  • Assisting with preventive measures such as company-wide audits to ensure consistent implementation of pay and promotion policies;
  • Counseling on restrictive covenants in employment agreements, employee raiding claims, unfair competition claims and other employment-related business torts;
  • Advising on compensation and benefits plans as well as the entire range of employee benefits matters;
  • Reviewing employment handbook policies and designing training for management personnel;
  • Advising on compliance with privacy and data security mandates across the country, including compliance with HIPAA privacy laws; and
  • Advising and counseling on immigration matters so clients can secure the best talent.

The Team

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June 21, 2017

Top Five Labor Law Developments in May 2017

June 21, 2017

Handbook rules requiring employees to obtain preapproval to use cameras and other recording devices at work are not per se unlawful, according to the National Labor Relations Board. Mercedes-Benz U.S. Int’l Inc., 365 NLRB No. 67 (May 16, 2017). The Board denied the Board General Counsel’s summary judgment motion in a case brought... Read More

June 15, 2017

Business Group Files Amended Complaint in Lawsuit Challenging Philadelphia Wage History Law

June 15, 2017

Philadelphia’s Wage History Ordinance, initially scheduled to take effect on May 23, 2017, remains on hold. The Ordinance has been 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 City of Philadelphia agreed to halt enforcement of... Read More

June 15, 2017

Oregon Enacts Expansive Pay Equity Law

June 15, 2017

The Oregon Equal Pay Act of 2017 greatly extends pay equity protections to a variety of protected classes, prohibits employers from asking for applicants’ salary history, and expands existing remedies available to employees. House Bill 2005 also offers key protections and a safe harbor for employers. The majority of the Act’s... Read More

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