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
Past Events
- November 29, 2023
- June 9, 2023
Insights
Insights
- BlogsSpilling Secrets Podcast: Wizarding and the World of Trade Secrets2 minute read
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- Firm Announcements
Eighteen Epstein Becker Green Attorneys Named to the 2024 New York Super Lawyers and Rising Stars Lists
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- Firm Announcements
Four Epstein Becker Green Attorneys Named to the 2024 Massachusetts Super Lawyers and Rising Stars Lists
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- Blogs
What the FTC Non-Compete Ban Block Means for Employers - Employment Law This Week Video
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- Media CoveragePaul DeCamp Featured in “Former DOL W&H Head Talks Shop on Agency Rulemaking”11 minute read
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- 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
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- 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” ...
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- Blogs
California Governor’s PAGA Deal: What Employers Need to Know - Employment Law This Week
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- 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
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