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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.

The Team

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Is your Business a Financial Institution under the GLBA?

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August 17, 2018

Illinois Secure Choice Retirement Savings Program No Longer Mandatory?

August 17, 2018

The future of the Illinois Secure Choice Savings Program Act (Secure Choice) is uncertain following Governor Bruce Rauner’s amendatory veto that could make employer participation in the Secure Choice program optional. The legislation, as enacted, makes participation in the Secure Choice program mandatory for covered employers that do... Read More

August 13, 2018

Independent Contractor Misclassifications is Focus of New Jersey-U.S. Labor Department Partnership

August 13, 2018

Demonstrating a heightened focus on worker misclassification, the New Jersey Department of Labor has entered into a memorandum of cooperation with the U.S. Department of Labor with respect to enforcement actions related to independent contractor misclassifications. Agency officials explained the arrangement promotes “coordinated... Read More

August 13, 2018

What Employers Need to Know About the Illinois Secure Choice Mandatory Retirement Savings Program

August 13, 2018

Employers in Illinois with at least 25 employees must comply with the Illinois Secure Choice Savings Program Act (Secure Choice) or offer employees an employer-sponsored retirement plan. Secure Choice is set to roll out in November 2018. Secure Choice applies to Illinois employers that do not sponsor a qualified retirement plan. The... Read More

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