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.

Financial Services Industry Group Leaders

Thomas E. Deer

Joseph B. Cartafalsa

Katherine C. MacIlwaine