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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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Ashley Bryan Abel

Ashley Bryan Abel
Principal
Greenville

864-232-7000
AbelA@jacksonlewis.com

Gil A. Abramson

Gil A. Abramson
Principal
Baltimore

410-415-2023
Gil.Abramson@jacksonlewis.com

Stephanie L. Adler-Paindiris

Stephanie L. Adler-Paindiris
Principal and Office Litigation Manager
Orlando

407-246-8409
Stephanie.Adler-Paindiris@jacksonlewis.com

Francis P. Alvarez

Francis P. Alvarez
Principal
White Plains

914-872-6866
AlvarezF@jacksonlewis.com

Brooks R. Amiot
Office Managing Principal
Baltimore

410-415-2005
Brooks.Amiot@jacksonlewis.com

William J. Anthony

William J. Anthony
Interim Office Managing Principal
Albany

518-512-8703
William.Anthony@jacksonlewis.com

Martin W. Aron

Martin W. Aron
Principal and Office Litigation Manager
Morristown

973-451-6370
Martin.Aron@jacksonlewis.com

Clifford R. Atlas

Clifford R. Atlas
Principal
New York

212-545-4017
AtlasC@jacksonlewis.com

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January 12, 2017

New York Bars Insurers from Denying Commercial Crime Coverage Due to Employee’s Prior Criminal Conviction

January 12, 2017

The New York State Department of Financial Services (NYSDFS) has promulgated a regulation that requires insurance companies to provide Commercial Crime Coverage to employers who have prior knowledge of an employee’s prior criminal conviction. Commercial Crime Coverage is defined as coverage under a policy of commercial risk... Read More

January 9, 2017

New York Releases Revised Proposed Cybersecurity Regulations

January 9, 2017

The New York State Department of Financial Services (“DFS”) has released a revised version of its proposed cybersecurity regulations, which set regulatory minimum standards for protecting the customer information and information systems of the financial services industry. The Revised Proposed Regulations will become effective... Read More

December 13, 2016

Bill Would Limit Applicability of Dodd-Frank Act to Certain Financial Institutions

December 13, 2016

A bill in Congress would significantly amend the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111–203) to change what institutions might be designated a systemically important risk requiring additional scrutiny. This change may result in reduced regulation of smaller banks. The “Systemic Risk... Read More

Showing 1-3 of 5