Financial Services

Leadership
	Lawyers for Securities and Financial Services Employees The attorneys at the law firm of Outten & Golden LLP are aggressive advocates for professionals in the financial services industry in New York, Connecticut, 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.
Laurence S. Moy

Determining the Right Strategy to Protect Our Client’s Interests

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

Employment Disputes

• FINRA, NASD, NYSE, and AAA 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 experienced and knowledgeable counsel in sensitive and industry-specific employment matters such as these.

Contact New York City, NY or Stamford, CT employment attorney

Securities and Financial Services - Articles of Interest

Sarbanes-Oxley Act - Whistleblower Claims Under the Sarbanes-Oxley Act of 2002 - Understanding Securities Law (85KB - PDF)
by Laurence S. Moy, Esq.; Linda A. Neilan, Esq. and Hollis Pfitsch
Outten & Golden LLP

Mediation - Mediation of Employment Disputes (45KB - PDF)
by Wayne N. Outten
Executive Compensation, editors Yale D. Tauber and Donald R. Levy, 2003

ADR - Negotiations and ADR in Employment Disputes (93KB - PDF)
by Wayne N. Outten
Executive Compensation, editors Yale D. Tauber and Donald R. Levy, 2003

Employment Disputes - Handling Disputes Involving Current Employees (67KB - PDF)
by Wayne N. Outten
Executive Compensation, editors Yale D. Tauber and Donald R. Levy, 2003

Mediation - Mediation Advocacy - An Employees' Attorney's Perspective (98KB - PDF)
by Wayne N. Outten
Outten & Golden LLP