Financial Services

Already highly regulated, financial services employers face unique challenges and demands as federal and state financial regulations collide with employment laws. Financial services employers are particularly vulnerable to whistleblower lawsuits, administrative claims and lawsuits filed by compliance officers, government investigations, and enforcement actions. Additionally, customer data is highly sensitive and must be protected. Employee adherence to proper data privacy procedures is a matter not only of good practice but also of regulatory and security compliance. Proprietary information is abundant, and employee best practices must be developed and managed through a comprehensive approach.

Comply with regulations, handle administrative challenges, and protect customer data.

Our firm works with leading financial services companies, including one of America’s largest mortgage lenders, to ensure employer compliance without a major impact on business operations. Our team understands the demands on financial services employers from both the business and industry compliance perspectives. Our team’s experience includes advising and representing financial services employers.


Solutions for Financial Services:

  • Representing clients in forums like FINRA, AAA and JAMS;
  • Helping clients navigate industry-specific labor and employment law issues, such as whistleblower claims under Dodd-Frank and Sarbanes Oxley (SOX);
  • Assisting clients prepare industry-specific codes of conduct and employment policies regarding personal investing, conflicts of interest, and gifts and entertainment;
  • Developing complaint reporting procedures, anti-retaliation policies, and internal investigation protocols;
  • Creating policies and procedures to protect trade secrets and other proprietary information;
  • Advising on compliance with federal and state laws for executive or incentive-based compensation structures and agreements;
  • Counseling regarding the considerations for hiring independent contractors and classifying employees under the white collar, outside/inside sales, or administrative exemption; and
  • Defending financial services industry employers against individual or class claims of wage and hour violations, discrimination, harassment, retaliation, or other employment-related claims.