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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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August 15, 2017

Why the Chicago and Cook County Paid-Sick-Leave Ordinances May Apply to Your Organization

August 15, 2017

Paid-sick-leave ordinances (PSLOs) became effective in the City of Chicago and Cook County on July 1, 2017. The PSLOs require employers to grant paid sick leave to employees on terms more generous than what most employers have historically offered. (For example, see our article, Cook County, Illinois, Issues Final Paid Sick Leave... Read More

August 11, 2017

Federal Law Does Not Preempt Connecticut Medical Marijuana Law Employment Discrimination Prohibition

August 11, 2017

Federal law does not preempt the Connecticut medical marijuana statute’s prohibition on employers’ firing or refusing to hire qualified medical marijuana patients, even if they test positive on an employment-related drug test, the U.S. District Court for the District of Connecticut has held. Noffsinger v. SSC Niantic Operating Co., LLC,... Read More

August 11, 2017

Top Five Labor Law Developments for July 2017

August 11, 2017

The U.S. Senate narrowly confirmed Marvin Kaplan to one of two vacant seats on the National Labor Relations Board on August 2, 2017. Kaplan was sworn in on August 10. Kaplan is a former counsel to the Commissioner of the Occupational Safety and Health Review Commission. His confirmation leaves one vacant seat on the five-member Board... Read More

Showing 1-3 of 112