Financial Services

Our team of attorneys has decades of experience advising and representing a broad spectrum of financial services industry clients and we understand the unique issues that they face. Our clients include banks, SEC-regulated public companies, broker-dealers, employers of investment advisors, FINRA-registered firms and representatives, mortgage companies, hedge funds, and private equity firms.

Breadth of Coverage

Ogletree Deakins provides innovative legal services in the following areas to financial services employers:

Financial Services Industry–Specific Matters

FINRA employment arbitrations
SEC investigations
Sarbanes–Oxley and Dodd–Frank compliance
Investigation and defense of whistleblower allegations
OFAC compliance
Development of, compliance with, and training on compliance and ethics policies
Data protection and privacy
Restrictive covenants and trade secret protections
Industry best practices

Employment Law Advice and Counseling

Sexual harassment training and prevention
Pay equity
Internal investigations
Policy development and employee handbooks
Compliance with the ADA, the FMLA, and state leave laws, as well as disability leave management
Severance agreements and garden leave
Wage and hour compliance
Social media accounts and off-duty conduct
Background checks and drug testing
Recruiting, hiring, and onboarding
Employee discipline and performance management

Employment Litigation

Defense of charges brought by the U.S. Equal Employment Opportunity Commission and state and local agencies
Discrimination and wrongful discharge clams in state and federal courts
Contract and commission claims
Wage and hour claims
Class and collective actions
Noncompete agreements and trade secret litigation

ERISA and Employee Benefits

The Affordable Care Act
Retirement and welfare plan design and compliance
Fiduciary counseling and best practices advice
Cash and equity-based compensation

Immigration and Employee Mobility

S. and global immigration
Worldwide mobility and expat agreements
Secondment agreements
Compliance with international data protection laws

Depth and Experience

Our attorneys with financial services industry experience offer:

counsel who stay informed of legal and regulatory developments affecting financial service clients;
financial services industry “bench depth” in litigation, policy matters, compliance, legal issues based on federal and state laws and regulations, and applicable industry rules and regulations;
training and presentations for executives, human resources and compliance professionals, managers, and employees; and
risk management and compliance advice and preventive counseling about potential consequences associated with both innovative and commonplace business practices.

Communication and Focus on Client Goals

Clear, prompt, and effective communication is critical to serving the legal needs of our financial services clients. In addition to regularly updating clients on their matters, we actively consult with our clients during every step of the decision-making process, from budgeting to strategy. At Ogletree Deakins, we understand the challenges faced by employers in the financial services industry and we deliver solutions for in a cost-effective manner, and in a manner consistent with our clients’ goals.