Financial Services & Insurance

Financial services companies and insurance carries operate within a highly regulated environment where compliance, risk management, and dispute resolution are critical. Our team understands that familiarity with industry compliance requirements make for efficient, practical outcomes.  

What Sets Us Apart

Industry Knowledge – Understanding of the regulatory and operational frameworks that govern financial institutions and insurance carriers.

Focused Experience – Regularly represent clients in FINRA arbitration, regulatory investigations, and employment-related litigation.

Comprehensive Support – Advise on matters involving restrictive covenants, internal investigations, workforce changes, and policy development.

What We Do

Financial Industry

• FINRA arbitration (industry and customer) and regulatory enforcement proceedings
• U-5 Defamation defense
• RIA counselling, litigation and compliance
• Confidential/Trade secrets counselling and litigation
• Non-compete, non-solicitation and non-disclosure
• Sarbanes-Oxley Act whistleblowing defense

Need guidance on FINRA arbitration and compliance? Explore our FINRA services.

Regulatory & Corporate Advisory

• Guidance on employment-related aspects of mergers and acquisitions, including reductions in force and class claim risks
• Counsel on trade secret protection and restrictive covenants, including non-competition and non-solicitation agreements

Employment Litigation & Compliance

• Defense of discrimination, harassment, and retaliation claims in administrative proceedings and court cases, including large-scale class actions
• Wage and hour compliance, including defense against overtime and misclassification claims under the Fair Labor Standards Act (FLSA) and state laws
• Employment policies, risk management, and compliance training

Representative Matters

• Represented one of the nation’s largest financial institutions in a class investigation being conducted by the Denver Field Office of the EEOC regarding allegations of age discrimination resulting from the merger between two major banks and related reductions in force.

• Represented multinational bank before San Francisco Superior Court in a class action involving meal and rest periods, off-the-clock work, reimbursements and travel time.

• U.S. District Court, Central District of CA. Represented and served as lead California counsel for large banking institution in class action regarding MDL hybrid commission sales.

• U.S. District Court, Central District of CA. Represented global insurance provider in putative medical benefits class action.

Multimedia

Employment Law in the Financial/Investment Sector

FINRA & RIA Litigation and Counseling

Our team has extensive experience handling FINRA arbitration, RIA litigation, regulatory compliance, and related financial services litigation.

We represent financial institutions and professionals in enforcement actions, regulatory investigations, and arbitration matters. Our attorneys have successfully defended clients in cases involving:

• Broker-dealer employment disputes, including non-compete, non-solicitation and U5 defamation claims
• Customer disputes and claims of misconduct
• FINRA rule violations and enforcement actions
• Breach of fiduciary duty and securities fraud

Our Team

• John MacDonald, Partner, Princeton
• Terry Higham, Partner, Los Angeles