financial services practice group

Lawyers for Securities and Financial Services Employees

Outten & Golden attorneys advocate for professionals in the financial services industry in New York, Stamford, Chicago, nationwide and internationally. Our clients are employed throughout the industry — in commercial and retail banking, retail and institutional sales, trading, research, investment banking, and asset management. We also act on behalf of employees in the legal and compliance sectors. Our clients work in organizations such as brokerage houses, securities firms of all types, money management firms, insurance companies, hedge funds, and private equity firms.

Determining the Right Strategy to Protect Our Client’s Interests

Our attorneys determine the approach that will best protect our clients’ rights and are strong advocates for clients in matters such as the following:

Employment Disputes

• FINRA, AAA, and JAMS mediation and arbitration
• Commission, bonus pay, salary, stock, and other compensation disputes
• U-5 and U-4 cases, defamation claims, and other matters concerning registration and registered persons
• Court litigation, including trials and appeals

Employment Agreements

• Offer letters, employment contracts and agreements, and severance and release agreements
• Garden leave (notice), non-compete (non-competition) agreements, non-solicitation provisions, confidentiality restrictions, and other restrictive covenants
• Retention agreements, equity, restricted stock, option, deferred compensation, and other incentive compensation agreements
• International/multinational agreements, including expatriate and secondment agreements

Retaliation and Discrimination Claims

• Discrimination, harassment, and retaliation claims
• Sarbanes-Oxley (“SOX”) and other whistleblower claims

Our attorneys offer experience and knowledgeable counsel in sensitive and industry-specific employment matters.

(Prior results do not guarantee a similar outcome.)