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 special 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
- November 30, 2022
Insights
Insights
- BlogsVideo: How Can Employers Prepare for the Future of Pay Equity? - Employment Law This Week2 minute read
- Blogs
“They Said What?! I’ll Sue!” – Litigating Defamatory Claims – Speaking of Litigation Video Podcast
25 minute read - Firm Announcements
Fourteen Epstein Becker Green Attorneys Named to the 2024 New Jersey Super Lawyers and Rising Stars Lists
5 minute read - BlogsPay Transparency Comes to Washington, DC7 minute read
- Firm AnnouncementsEpstein Becker Green Continues to Materially Expand Employee Benefits and Executive Compensation Capabilities with ...3 minute read
- Firm AnnouncementsEpstein Becker Green Named Among “Leading Edge Law Firms” by BTI Consulting Group2 minute read
- Firm AnnouncementsEpstein Becker Green Continues West Coast Expansion by Adding Employment Attorney Haley Morrison in Portland3 minute read
- Blogs
Privacy Officer's Roadmap: Data Breach and Ransomware Defense – Speaking of Litigation Video Podcast
42 minute read - Firm AnnouncementsEpstein Becker Green’s Complimentary Wage & Hour App Provides Employers with Updates on Key Laws for 20243 minute read
- Media CoveragePaul DeCamp Quoted in “Ambiguity Is Key to Triggering Agency Deference”3 minute read
- PublicationsNYC ESSTA’s New Private Right of Action Gives Employers a Reason for Action … to Review Safe and Sick Leave Policies ...11 minute read
- Media CoverageJeff Ruzal Quoted in “1 Way to Wrap Up Wage-Hour Suits Without Court Review”3 minute read
- PublicationsReminder for New Jersey Employers: Review Employment Law Updates and Poster Requirements for 202419 minute read
- PublicationsNew York State Follows New York City in Enacting Freelance Worker Protections9 minute read
- PublicationsCorporate Transparency Act Brings Expansive New Federal Reporting Requirements for Entities in 202419 minute read
- PublicationsNew Year, New Changes for California Employers in 202422 minute read
- PublicationsMaking Sense of New Paid Leave Obligations in Illinois – Coming SOON26 minute read
- Media CoverageJeff Ruzal Quoted in “Wage Division Reports Banner Year for Fines, Record Low Actions”4 minute read
- PublicationsNew York Further Restricts Agreements Involving Claims of Discrimination, Harassment, or Retaliation8 minute read
- BlogsICYMI: 10+ Years Later, NY Limits Employers’ Access to Employees’ Social Media and Other “Personal Accounts” ...8 minute read
- Media CoveragePaul DeCamp Quoted in “Judges Order Arrests in Rare Labor Agency ‘Punch’ Over Defiance”2 minute read
- Media Coverage
Featured in Los Angeles Sentinel: Attorney Kimberly Carter Joins Epstein Becker Green Law Firm
1 minute read - Blogs
What to Do If the Government Knocks on Your Company’s Door … or Breaks It Down – Speaking of Litigation Podcast
28 minute read - Media Coverage
Featured in Law360: Employment Attorney Kim Carter Joins Epstein Becker Green
2 minute read - Media CoverageKim Carter Featured in “Wake Up Call: Laterals, Moves, In-House”1 minute read
- Media CoverageKim Carter Featured in “Epstein Becker Green Adds Employment Attorney as Member in LA”1 minute read
- Firm AnnouncementsEpstein Becker Green Bolsters West Coast Presence with Employment Attorney Kimberly Carter3 minute read
- Firm AnnouncementsEpstein Becker Green’s Digital Marketing Strategies Earn Several “Top Performer” Rankings in the 2023 Social Law ...3 minute read
- BlogsNew York to Extend Window for Filing Administrative Complaints of Unlawful Discrimination3 minute read
- Firm AnnouncementsEpstein Becker Green Awards 2023 Annual Core Values Champions4 minute read
- Media Coverage
As Featured in Law360: Epstein Becker Promotions Inch Up with 12 Members Named
2 minute read - Firm Announcements
Epstein Becker Green’s Pete Steinmeyer Honored in Crain’s 2023 Notable Leaders in Employment & Labor Law
1 minute read - PublicationsDealing with Controversial Commentary? Some Guidance and Guardrails for Employers19 minute read
- Firm AnnouncementsEpstein Becker Green’s Edward J. Loya, Jr., Elected as Texas Bar Foundation Fellow3 minute read
- Media CoverageEpstein Becker Green Featured in “Share of Women Among Partner Promos Continues Growing”3 minute read
- Firm Announcements
Epstein Becker Green Recognized Among 2024 “Best Law Firms” by U.S. News – Best Lawyers®
6 minute read - BlogsAnswering a Major Question No One Asked: NLRB Issues Final Rule on Joint-Employer Status5 minute read
- BlogsMassachusetts Employers: Don’t be Scared! Key Updates Coming to the Massachusetts Paid Family and Medical Leave Law ...4 minute read
- Media Coverage
Featured in The Legal Intelligencer: Epstein Becker Green Snags Employment Benefits Team to Launch Pittsburgh Office ...
2 minute read - Media CoverageKathryn English, Sandra Mihok, Heather Stone Fletcher, William Carter, Samuel Nolan Featured in “5-Person Benefits ...3 minute read
- Media CoverageEpstein Becker Green Expands Pittsburgh Footprint Following Addition of 5 Former Attorneys from Eckert Seamans1 minute read
- Firm AnnouncementsEpstein Becker Green Expands Employee Benefits Practice with Five-Attorney Group in Pittsburgh3 minute read
- PublicationsCalifornia Makes Its Strict Noncompete Law Even Stricter5 minute read
- PublicationsCalifornia Employers: Increased Paid Sick Leave Effective January 1, 20246 minute read
- BlogsThe Validity of More Than a Decade’s Worth of Federal Regulations Are at Stake as the U.S. Supreme Court Decides the ...3 minute read
- PublicationsNew York Restricts Assignment of Employee Intellectual Property7 minute read
- PublicationsCalifornia Employers: Amended Ban-the-Box Regulations Effective October 1, 202314 minute read
- BlogsNew York Paid Family Leave Benefits and Contribution Rates Changing (Again) in 20242 minute read
- Firm Announcements
Twenty-One Attorneys Named to the 2023 New York Super Lawyers and Rising Stars Lists
12 minute read - Firm AnnouncementsEpstein Becker Green Named “Best of the Best” in LinkedIn Performance by BTI Consulting Group6 minute read