Overview
Today's financial services industry is an arena of high-stakes and vigorous regulation.
Since the financial crisis of 2009, the many trillions of dollars at risk have attracted investors of every stripe, as well as intense scrutiny from not only government regulators and enforcement agencies but also shareholders, media, and the public at large. For most organizations, compliance obligations now extend to all areas of the business, with particular emphasis on workforce matters and transactions.
Epstein Becker Green helps financial services companies, both domestic and international, navigate the ever-changing economic and regulatory landscape. Some come to us for our depth of experience in all manner of workforce issues. Others count on us to handle the regulatory components of transactions, especially in the health care and life sciences sectors.
Our Clients
Our roster of financial services clients runs the gamut from small venture capital funds to major global banks. For example, our attorneys routinely advise and represent the following clients:
- Asset managers and pension fund fiduciaries
- Broker-dealers
- Commercial banks
- Corporate borrowers and issuers of securities
- Insurance carriers
- International investment banks
- Investment banks
- Multiline insurance carriers and offshore reinsurers
- Non-bank commercial lenders
- Private equity and venture capital funds
- Regional savings banks
Workforce Issues
In a field known for high compensation and creative employment contracts, our financial services clients turn to us for sophisticated advice in the day-to-day challenges of hiring, incentivizing, and managing their workforces.
Beyond simply interpreting the ever-changing labor and employment laws, we advise clients on their options, show them what other companies are doing, provide benchmarks, and generally think ahead about the business implications of their decisions. Our lawyers help them establish robust employment policies that are fully compliant yet tailored to their operations and business objectives.
We advise clients on matters of benefits and compensation, train their people in harassment and discrimination avoidance, and help them lawfully expand employee diversity at all levels of the organization. Financial services clients rely on us to represent them when the employment relationship becomes adverse, particularly when navigating mandatory arbitration at the Financial Industry Regulatory Authority (FINRA). Wage and hour disputes and claims based on compensation, misappropriation, non-competition, discrimination, and retaliation, whether in class actions or high-pressure arbitration, are litigated proactively and in partnership with in-house counsel.
Health Care Transactions
Long known for our broad knowledge and deep experience in the health care and life sciences space, we regularly assist our financial services clients when they are underwriting the debt and equity securities of, or lending to, health care and life sciences entities. Our attorneys also represent private equity funds and venture capitalists in acquisitions and divestitures of regulated and non-regulated health care companies. We take a multidisciplinary approach to deal representation, with services that include corporate and regulatory due diligence, negotiation and drafting of disclosure and financing documents, and advice on the regulatory environment as it affects current and future deals.
Financial Services Disputes
Financial services clients, their professionals, directors, and officers turn to us to represent them in investigations, at trial, and before FINRA and the American Arbitration Association. Our litigators have achieved positive results in high-stakes commercial and business disputes spanning breach of contract, breach of fiduciary duty, customer complaints, executive compensation, fraud, and securities actions. We also help financial services clients protect their intellectual property and sensitive data in employee mobility actions involving restrictive covenants, misappropriation of confidential information, and trade secrets.
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Focus Areas
Services
- ADA and Public Accommodations
- Affirmative Action/OFCCP Compliance
- Appellate
- Banking Litigation
- Class Actions
- Construction Law
- Corporate & Transactional
- Corporate and Securities Litigation
- Corporate Financing
- Corporate Governance
- Corporate Reorganization
- Cross-Border Data Transfers
- Cross-Border Transactions
- Cybersecurity Risk Assessment
- Data Asset Management
- Data Breach and Incident Response
- Data Protection
- Diversity, Equity & Inclusion Counseling
- Employee Benefits and ERISA
- Employment Compliance Counseling
- Employment Litigation
- Employment Training
- Employment, Labor & Workforce Management
- ERISA – Retirement and Benefit Plan Litigation
- Executive Compensation
- Financial Restructuring and Bankruptcy
- Financial Services Litigation
- Foreign Multinational Counseling and Litigation
- General Counsel Services
- Immigration
- Insider Threats
- Intellectual Property
- Intellectual Property Litigation
- Labor and Employment Due Diligence
- Labor Management Relations
- Litigation & Business Disputes
- Mergers, Acquisitions & Divestitures
- Occupational Safety and Health (OSHA)
- Pandemic Workforce Issues
- Pay Equity
- Privacy, Cybersecurity & Data Asset Management
- Ransomware
- Real Estate
- Remote and Hybrid Work
- Social Media and the Workplace
- State Privacy Law Compliance
- Tax and Tax-Exempt Counseling
- Trade Secrets & Employee Mobility
- Wage and Hour
- Whistleblowing and Compliance
- White Collar Defense and Internal Investigations
- Workforce Government Relations
- Workforce Restructuring and Other Cost-Saving Mechanisms
- Workplace Investigations
Industries
Trending Issues
Experience
Contacts
- Member of the Firm
- Board of Directors / Member of the Firm
Media
Events
Past Events
- November 29, 2023
- June 9, 2023
- March 23, 2023
- March 8, 2023
Insights
Insights
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Edward J. Loya, Jr., Named a 2024 “Best Lawyer in Dallas” by D Magazine
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- Blogs
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