The Financial Services Group at Epstein Becker Green is a component of our national Labor and Employment 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:
- Wage and hour compliance
- Employment litigation involving wrongful discharge, breach of contract, confidentiality and non-compete agreements, and various discrimination-based matters, such as class-action discrimination defense
- Deferred compensation, executive bonus, and equity-based compensation guidance
- The protection of trade secrets and other proprietary information
- The preparation of employment, noncompetition, confidentiality, and other critical employment agreements
- The many facets of whistleblowing and whistleblower actions, including compliance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”)
- Immigration compliance
- Best practices with regard to employee hiring, compensation, discipline, and terminations
- Conducting investigations into employee complaints
- Unique issues specific to foreign banks and other multinational financial services employers
- Labor-management relations
- Litigation avoidance training
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.