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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.

Overview

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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Kristin L. Bauer

Kristin L. Bauer
Principal
Dallas

214-520-2400
BauerK@jacksonlewis.com

A. Robert Fischer

A. Robert Fischer
Principal and Office Litigation Manager
Austin

512-362-7404
FischerA@jacksonlewis.com

Beverly W. Garofalo

Beverly W. Garofalo
Principal
Hartford

860-522-0404
GarofalB@jacksonlewis.com

Lee A. Lastovich

Lee A. Lastovich
Office Managing Principal and Office Litigation Manager
Minneapolis

612-359-1773
Lee.Lastovich@jacksonlewis.com

Kevin G. Lauri

Kevin G. Lauri
Office Managing Principal
New York

212-545-4047
LauriK@jacksonlewis.com

Marko C. Maglich

Marko C. Maglich
Principal
White Plains

914-872-8060
Marko.Maglich@jacksonlewis.com

Theresa M. Marchlewski

Theresa M. Marchlewski
Principal
Los Angeles

213-689-0404
marchlet@jacksonlewis.com

Edward James McNamara

Edward James McNamara
Of Counsel
Los Angeles

213-630-8290
Edward.McNamara@jacksonlewis.com

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April 24, 2018

Iowa Amends Tough Drug Testing Law to Lower Standard for Positive Alcohol Tests

April 24, 2018

Beginning July 1, 2018, private employers in Iowa may take action based on an employee’s alcohol test result of .02 grams of alcohol per two hundred ten liters of breath. The lower standard was enacted under a 2018 amendment to the Iowa drug testing law (Iowa Code Section 730.5). Prior to the amendment, employers could not take action... Read More

April 20, 2018

Brazilian Labor Courts Continue to Emphasize Importance of Non-Compete Clause Limitations

April 20, 2018

A recent Brazilian labor court ruling clarified the procedural requirements for employers drafting non-compete clauses in employment agreements. Although the Brazilian Federal Constitution establishes “freedom of work,” and the Brazilian Industrial Property Law (Law 9.279/1996) prevents an employee from disclosing an employer’s... Read More

April 18, 2018

Massachusetts Equal Pay Act Calculation Tool: What Employers Need to Know

April 18, 2018

Ever since Massachusetts Governor Charlie Baker signed the state Equal Pay Act (MEPA) on August 1, 2016, employers have been seeking direction on how employee pay should be analyzed to withstand scrutiny under the new law. MEPA goes into effect on July 1, 2018. On March 1, 2018, the Massachusetts Office of the Attorney General (OAG)... Read More

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