Labor & Employment Finance & Banking Alternative Dispute Resolution (ADR)

Read need-to-know updates, commentary, and analysis on Labor & Employment issues written by leading professionals.
News & Analysis as of

FINRA: Firms Should Not Restrict Whistleblower Rights

Why it matters - In a new regulatory notice, the Financial Industry Regulatory Authority (FINRA) reminded regulated firms not to prohibit the exercise of whistleblower rights in settlement agreements with employees and...more

Third Circuit Sizes Up Dodd-Frank’s Anti-Arbitration Provision

On October 24, 2014, in Khazin v. TD Ameritrade Holding Corp, et al., the U.S. Court of Appeals for the Third Circuit heard oral argument on an issue of first impression (within that forum): whether Dodd-Frank applies...more

FINRA Issues Guidance Notice To Warn Against Settlements Barring Whistleblower Tips

This month, FINRA issued guidance notice 14-40 to reminds firms that “it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements...more

Florida Appellate Court: Open Meeting Law Applies to Collective Bargaining - The Florida Court Holds That a Mediation Settlement...

In a crucial victory for transparency, a Florida state appeals court ruled on Oct. 21, 2014, that the law will not "condone hiding behind federal mediation" when municipal governments try "to thwart the requirements of the...more

Legal Briefs: A Periodic Summary of Judicial Decisions Affecting Accounting and Financial Services Professionals - October 2014

The New Jersey District Court recently ruled that an economic damages expert retained by plaintiffs’ counsel in a class action was not entitled to any further compensation for his work. The facts in Rothstein v. Harstad...more

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements...more

FINRA Provides New Carve-Out Provisions to Include in Settlement and Confidentiality Agreements

Financial Industry Regulatory Authority (FINRA) Member Firms have new language to include in their settlement and confidentiality agreements. On October 9, FINRA released Regulatory Notice (RN) 14-40, warning that firms are...more

Take 5 Newsletter: Five Documents That Financial Services Employers Should Revisit Now

With summer here, including its long days and blazing heat, many thoughts may turn to beaches, sunshine, and lazy afternoons. The summer may also be a good time for employers—especially those in the financial services...more

Tips to Help Avoid Class Action Litigation

Taking advantage of recent case law developments can assist financial institution employers in avoiding and/or minimizing their exposure to class and collective action litigation. For example, courts have become increasingly...more

Employment Law - June 2014

California Supreme Court Strikes Down $15 Million Employee Class Action Win and Orders Decertification in Duran V. U.S. Bank Nat’l Ass’n - Why it matters: On May 29, 2014, the California Supreme Court unanimously...more

Employment Law

Second Circuit: Inability to Sit for Long Periods Can Trigger ADA Coverage - Why it matters: Can an employee’s inability to sit for a prolonged period of time constitute a disability under the Americans with...more

Brownstein Trial Victory Provides Executive Compensation Plan Guidance

Brownstein Hyatt Farber Schreck attorneys and their client recently scored another trial victory. The outcome provides lessons for Brownstein’s clients that utilize variable compensation plans for their...more

Pension News - November 2013

In This Issue: - Automatic enrolment - The Pensions Regulator - Pension Protection Fund - Department for Work and Pensions - Case law - Other News - On The Horizon - Contact Details -...more

Successful Strategies For Doing Business In Asia: China

1. What role does the government of China play in approving and regulating foreign direct investment? In the past, foreign investment in China was highly regulated. However, following China’s entry into WTO a decade...more

Anachronism Revealed: FINRA Rules Trump Italian Colors to Give Registered Members Their Day in Court

It is rare these days for a court to deny a motion to compel arbitration. It is especially surprising to find such a decision where the parties are subject to an arbitration agreement. Using the fundamental principle...more

Burr Alert: Top 10 Bank Hidden Employment Issues

Demographic market concentration trends, regulatory changes, and business condition developments raise legal issues your bank's lawyer may not be aware of; here are my top ten: 10. Reconsider arbitration policy...more

The Southern District Sends FLSA Claims To Arbitration

A recent ruling from the Southern District of New York provides further clarification regarding the use of arbitration clauses in employment agreements. On December 4, 2012, District Judge Barbara S. Jones granted UBS AG’s...more

The ERISA Litigation Newsletter - July 2011

In This Issue: - An Update on ERISA Attorney-Client Privilege and the Work Product Doctrine Under ERISA’s “Fiduciary Exception” - AT&T Mobility v. Concepcion: Can Arbitration Bar ERISA Class Actions? -...more

Summary of Selected Programs from SIFMA Compliance & Legal Division’s 2011 Annual Seminar

On March 20-23, 2011, the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Society hosted its annual seminar. Drawing some 1,700 securities industry participants and observers, the seminar...more

19 Results
|
View per page
Page: of 1

Follow Labor & Employment Updates on: