2012’s Key Issues for Financial Services Employers: Dodd-Frank, Class Actions & Arbitration, and Diversity

The Yale Club of New York50 Vanderbilt Avenue
New York, NY 10019

Presented by Epstein Becker Green Attorneys:
Kenneth J. Kelly
William J. Milani
Frank C. Morris, Jr.
Lauri F. Rasnick

Special Guest Speaker:
H. David Kotz, Gryphon Strategies

Financial Services employers faced myriad, high-stakes labor and employment issues in 2011, and all signs point to an even more challenging year ahead. From Dodd-Frank's unprecedented whistleblower protections to the ongoing class action vs. arbitration conundrum — not to mention the record number of charges filed last year with the EEOC — it has never been more important for employers in the financial services sector to take a truly proactive — "bull by the horns" — approach to managing their legal risks.

This industry-specific morning briefing will provide practical guidance on the steps you should be taking now to avoid costly mistakes in the year ahead. We are honored that H. David Kotz, former SEC Inspector General, will be joining us as a presenter.


  • Lessons Learned from Conducting Investigations of a Regulatory Agency: H. David Kotz
    H. David Kotz joined Gryphon Strategies, a full-service investigation firm, in January 2012, after serving for over four years as the Inspector General (IG) for the SEC. David will reflect on the many high-profile and complex investigations he conducted while serving as IG, including his investigation of the SEC's failure to uncover Bernie Madoff's $50 billion Ponzi scheme. He will also describe the challenges he faced while performing his work, the conclusions he drew from his investigations regarding regulatory oversight, and the lessons that companies can learn and use in their day-to-day activities.
  • Dodd-Frank and Whistleblower Issues: Frank C. Morris, Jr.
    • Living with bounty hunter regulations
    • Is an internal reporting system still viable?
    • Litigation and regulatory developments
    • New best practices regarding whistleblowers
  • Arbitrations and Class Actions - Kenneth J. Kelly
    • Pros and cons — strategic considerations for arbitration
    • Recent U.S. Supreme Court and appellate court decisions
    • Has the NLRB "overruled" the Supreme Court?
    • Can employers avoid class arbitrations?
  • Wall Street Diversity — Lauri F. Rasnick
    • EEOC systemic bias initiatives - the looming threat
    • How foreign companies can deal with overseas quotas for women
    • Creating appropriate initiatives to promote diversity
    • Avoiding pitfalls and overcoming challenges in diversity programs.

Registration fee is $40.

To register, please click here.

If you have questions about this briefing, please contact
Christine Eschenauer at (212) 351-4668 or [email protected]

Epstein Becker Green is an approved provider of New York Continuing Legal Education (CLE) credit. This seminar is approved for 2.0 hours of credit in Professional Practice, and is transitional and appropriate for both newly admitted and experienced attorneys. Please note that in order to receive full credit for attending this briefing, the registrant must be present for the entire session. Full scholarships to attend EBG Breakfast Briefings will be granted to nonprofit organizations, public sector employees and others for whom budgeting constraints would otherwise preclude attendance. To apply, send your request, stating the reason for your interest, to Christine Eschenauer, at [email protected]. Epstein Becker Green is an approved service provider for New Jersey CLE. This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 2.0 hours of total CLE credit.