The Financial Services Group at Epstein Becker Green is a component of our national Employment, Labor & Workforce Management practice—a cornerstone of the firm and one of the largest in the United States limited to the representation of management. Our talented professionals are in high demand because they offer our financial services clients innovative, interdisciplinary strategies designed to produce sound legal and fiscal results in connection with a broad range of transactional and litigation-based matters.

Members of the Financial Services Group have the specific knowledge and experience necessary to assist our clients in a global and ever-changing environment. From Inc. 100 startups to Fortune 500 entities, including domestic and foreign banks, investment management firms, international investment banks, broker-dealers, hedge funds, private equity and venture capital firms, and insurance carriers, we advise and represent both domestic and multinational financial services employers on a wide array of labor and employment issues, including:

The Financial Industry Regulatory Authority (“FINRA”) practice at Epstein Becker Green is also an important part of the firm’s financial services focus. We have extensive experience before FINRA and the representation of financial services institutions in disputes over a variety of issues, including compensation, termination, raiding, retaliation, and restrictive covenant litigation.

Financial reform and the Department of Labor’s policy changes have created new liabilities for companies operating in the financial services industry and new requirements for labor and employment compliance. These include, but are not limited to:

  • Expanded wage and hour/Fair Labor Standards Act liability
  • New whistleblower liabilities under Sarbanes-Oxley and Dodd-Frank
  • Extended regulations pertaining to executive compensation issues
  • Increased union activity to organize financial services institutions

To discuss how Epstein Becker Green’s Financial Services Group can help you meet these challenges in an efficient, comprehensive, and cost-effective manner, please contact us.