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
- 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
Experience
Contacts
- Member of the Firm
- Board of Directors / Member of the Firm
Media
Events
Upcoming Events
Past Events
- November 29, 2023
- June 9, 2023
- March 23, 2023
- March 8, 2023
Insights
Insights
- BlogsVideo: Staples Sued Over MA’s Lie Detector Notice, NJ’s Gender-Neutral Dress Code, 2024 Voting Leave Policies ...4 minute read
- PublicationsOn Trend: New Pay Equity Laws Coming to Massachusetts, Minnesota, and Vermont in 202513 minute read
- Blogs
What the FTC Non-Compete Ban Block Means for Employers - Employment Law This Week Video
2 minute read - Blogs“Fair Chance” Updates: Los Angeles County Ordinance Takes Effect; New York City Proposes Amendments to Existing Law ...8 minute read
- Publications#WorkforceWednesday: Courts Side with Employers – Tip Credit Rule and Non-Compete Ban Struck Down Nationwide3 minute read
- Media CoveragePaul DeCamp Featured in “Former DOL W&H Head Talks Shop on Agency Rulemaking”11 minute read
- BlogsMI Agencies Request Clarity on New Minimum Wage & Tip Credit Requirements3 minute read
- BlogsMental Health Parity Rules Incoming: What Employers Need to Know7 minute read
- BlogsVideo: New DOJ Whistleblower Program - What Employers Must Know - Employment Law This Week3 minute read
- Firm Announcements
Epstein Becker Green Attorneys Honored for Excellence in the Legal Profession by Best Lawyers 2025
14 minute read - BlogsVideo: State Legal Trends - Crucial Changes for Employers - Employment Law This Week4 minute read
- BlogsSpilling Secrets Podcast: What Is the Future of Non-Compete Agreements for Employers?2 minute read
- Media CoveragePaul DeCamp Quoted in “Wage and Hour Issues to Watch the Rest of 2024”4 minute read
- BlogsVideo: SpaceX Victory - Court Questions NLRB's Constitutional Authority - Employment Law This Week4 minute read
- Firm Announcements
Two Epstein Becker Green Attorneys Named to the 2024 Oregon Super Lawyers and Rising Stars Lists
8 minute read - BlogsSpilling Secrets Podcast: Can FTC’s Non-Compete Ban Survive Without Chevron Deference?2 minute read
- Media Coverage
Paul DeCamp Quoted in “What Employers Can Expect Following the End of Chevron Deference”
3 minute read - BlogsVideo: Chevron Deference Overturned - Employment Law This Week4 minute read
- Media Coverage
Stuart Gerson Quoted in “FDA’s Lab Developed Test Rule Could Be First Check on Agency’s Power Post-Chevron” ...
3 minute read - BlogsAuthors Predict an Increase in the Use of State Court Receivership Proceedings4 minute read
- PublicationsFederal Court Grants Temporary Stay of FTC Noncompete Rule but Limits Scope (for Now) to Named Parties12 minute read
- Media CoverageErik Weibust Quoted in “Court Blocks Effective Date of FTC’s Noncompete Rule for Plaintiffs Only”4 minute read
- Blogs
California Governor’s PAGA Deal: What Employers Need to Know - Employment Law This Week
2 minute read - PublicationsNoncompetes Under Fire, the Benefits of Forfeiture-for-Competition Clauses Getting a Fresh Look3 minute read
- BlogsFifth Circuit Narrows Application of the Crime-Fraud Exception to the Attorney-Client Privilege in Investigations ...3 minute read
- Media CoverageFrank Morris Quoted in “New D.C. Pay Transparency Law Could Apply to Virginia, Maryland Employers”2 minute read
- Media Coverage
Paul DeCamp Quoted in “The Supreme Court Discards Chevron Doctrine, Unleashing a Threat to Biden's Climate Policies” ...
7 minute read - Blogs
Another Leak Confirmed and Other Important Decisions and Divisions Issued, but Not Loper or Trump - SCOTUS Today ...
9 minute read - BlogsClearing Up Confusion: New Jersey Division on Civil Rights Proposes Detailed Guidelines Concerning What Constitutes ...5 minute read
- BlogsSpilling Secrets Podcast: Protecting Trade Secrets with E-Discovery2 minute read
- Media CoveragePaul DeCamp Quoted in “Justices’ Look at Overtime Exemption Proof Raises Liability Risk”3 minute read
- PublicationsChicago’s Paid Leave and Paid Sick Leave Ordinance Takes Effect Soon – Are You Ready?13 minute read
- BlogsVideo: SCOTUS Limits Availability of Injunctions in NLRB Unfair Labor Practice Cases - Employment Law This Week2 minute read
- BlogsDon’t Miss the Deadline: New York City Employers Must Display “Know Your Rights” by July 1, 20243 minute read
- Firm Announcements
Epstein Becker Green Receives National Recognition and Top Rankings in the 2024 Edition of Legal 500
3 minute read - BlogsVideo: Key SCOTUS Decisions This Term for Employers - Employment Law This Week3 minute read
- Firm Announcements
Epstein Becker Green Honored for Exceptional Performance in Key Practice Areas by Chambers USA 2024
5 minute read - BlogsVideo: EEO-1 Filing After June 4: What to Do Now, and How to Prepare for Next Year - Employment Law This Week2 minute read
- Media CoveragePaul DeCamp Quoted in “As State Minimum Wages Rise, Fewer Workers at Fed. Floor”3 minute read
- Media CoveragePaul DeCamp Quoted in “5th Circuit Decision Hints at Salary Debates to Come”3 minute read
- Media CoverageDean Singewald Quoted in “EEOC Crackdown May Hint at Pay Data Requirement Reboot”3 minute read
- PublicationsConnecticut Greatly Expands Paid Sick Leave Law6 minute read
- Media CoverageLaw360 Names the Twelve Epstein Becker Green Attorneys Who Moved Up the Ranks in Q1 20242 minute read
- BlogsVideo: Non-Disparagement Settlements in New Jersey, DOL's AI Guidelines, OSHA Regions Shift - Employment Law This Week2 minute read
- BlogsNew Jersey Attorney General and Division on Civil Rights Issue Guidance Regarding the NJLAD’s Applicability to Remote ...3 minute read
- BlogsN.J. Supreme Court Bans Broad “Non-Disparagement” Provisions in Agreements Settling Employment Discrimination ...5 minute read
- Media CoverageErik Weibust Quoted in “Noncompete Rule Challenge Gets More Backing”3 minute read
- BlogsVideo: DOL’s Expanded Overtime Salary Limits, EEOC’s Sexual Harassment Guidance, NY’s Mandatory Paid Prenatal ...2 minute read
- BlogsVideo: Avoiding Legal Illusions - Crafting Effective Arbitration Agreements - Employment Law This Week2 minute read
- PublicationsViral Layoff Videos Are Trending: Employers Should Proceed with Caution2 minute read