Background Checks

News & Analysis as of

FINRA’s New Background Investigation Rule Will Likely Increase Firms’ Costs and Potentially Increases Exposure for Firms in...

Recently, the SEC approved FINRA’s proposed new Rule 3110(e) relating to background investigations of registered persons. FINRA Rule 3110(e), which replaces NASD Rule 3010(e) and goes into effect on July 1, 2015, streamlines...more

Plaintiffs' Class Action Claims Target Background Checks

Earlier this week, the arts and crafts retailer Michael’s Stores, Inc. received notice of a new class action lawsuit challenging its use of applicant background checks. The lawsuit alleges that the retailer failed to provide...more

Heightened Scrutiny of Brokers – SEC Approves FINRA’s Proposed Background Check Rule

In recent years, questions have been raised in many quarters about how brokers with questionable backgrounds have been able to move among firms and remain in the industry. FINRA has responded by enhancing a broker-dealer’s...more

Ten New Year’s Resolutions Retail Employers Should Consider Making in 2015

Now that the busy 2014 holiday shopping season is over and the new year has begun, it’s a good time for retail employers to take a breath and think about 2015—what’s coming, what issues they should be watching, and what...more

SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration

The Securities and Exchange Commission has granted accelerated approval of a Financial Industry Regulatory Authority proposal to adopt FINRA Rule 3110(e) concerning the responsibility of FINRA member firms to investigate...more

SEC Approves FINRA Rule Strengthening Background Checks

The Securities and Exchange Commission (SEC) has approved a Financial Industry Regulatory Authority (FINRA) rule requiring member firms to strengthen their background investigation of applicants seeking registration. ...more

15 For ’15: Employment And Labor Resolutions For The New Year

While the year is still young, here are 15 New Year’s resolutions that employers may want to make: 1. Make sure your “independent contractors” are really independent contractors. ”Independent contractors” are under...more

New Year: Resolve, Review, Revise

The new year is a time for reflection. With that reflection often comes a resolve for change, from small modifications of some old habits to wholesale new beginnings and everything in between. From a business perspective,...more

Trends in New Jersey Employment Law - December 2014

2014 Year in Review—the Top 10 Trends in New Jersey Employment Law - 2014 was another busy year for developments in New Jersey employment law. This newsletter examines noteworthy developments in ten key...more

Uber: Is it Safe (Part 2)

In Delhi, in response to the report of an alleged rape by one of its drivers, Uber announced that it is taking additional steps to screen drivers. Uber has hired a “local team of specially-trained safety experts” to help...more

Background Checks Headline in 2014

In 2014, background checks were a hot topic in state and local legislatures. Before this year, only 8 jurisdictions in the country had passed laws preventing private employers from asking job candidates about their criminal...more

Watch Your Back: The Growing Threat of FCRA Background Check Class Actions

Class action suits against employers alleging a violation of the Fair Credit Reporting Act when using background checks performed by a credit reporting agency have more than tripled in 2014, with new cases continuing to be...more

Beware of Stock Vendor Background Check Forms

If you are like many employers, you use an online job application or are considering switching to an online process. Online applications have many benefits, and there are numerous vendors prepared to help you set up an online...more

UBER: Is it Safe?

Uber hires “independent contractors” to serve as drivers, while it’s software (in particular, it’s cell phone apps) serves as the dispatch center and handles payment. It is an innovative use of technology, and it has been...more

2014 EEOC Year In Review: Lots Of Action, Mixed Results

2014 has been a notable year for the U.S. Equal Employment Opportunity Commission. The agency has initiated historic litigation, issued significant new guidance and signaled increased scrutiny of background checks and...more

New State Act Increases Background Check Requirements for School Employees and Volunteers

In the flurry of activity before the end of the legislative session in October, the Pennsylvania Legislature passed and Governor Thomas Corbett signed into law Act 153 of 2014, that amended the state Child Protective Services...more

Columbia, Missouri Joins “Ban the Box” Trend

Columbia, Missouri is the latest jurisdiction to “ban the box” by prohibiting private employers from making criminal inquiries on an employment application. The law, which took effect on December 1, 2014, only allows...more

San Francisco Issues Guidance for Employers and Contractors on Fair Chance Ordinance

San Francisco has posted FAQs explaining key provisions of the city’s so-called Fair Chance Ordinance (“Ordinance”), which took effect on August 13, 2014. The Ordinance “bans the box,” prohibiting most private employers and...more

Understanding "Ban the Box" Laws

“Ban the Box” is a national civil-rights movement backed by advocates for job applicants with criminal convictions. Proponents of these laws believe that expanding employment opportunities for individuals with criminal...more

Four New Laws Within 40 Miles: The Washington, DC Area Accelerates the "Ban-the-Box" Movement

The Washington, DC area has become the leading edge of the "ban-the-box" movement, with four new ban-the-box laws applicable to private employers enacted in the past six months. Baltimore, Maryland, started the trend when...more

‘Tis the (Retail) Season, Part III: Five Tips for Hiring Seasonal Workers

It’s that time of year once again! Retailers are gearing up for the holidays and hiring seasonal workers in droves. Unfortunately, the flurry of activity and the common misperception that seasonal workers have a different...more

Caught Between Laws: Challenges for Health Care Providers in Using Criminal History Information in Employment Decisions

In an effort to increase protection for vulnerable patient populations, the Affordable Care Act (ACA) creates incentives for states to strengthen the employment background check programs available to long-term care providers....more

‘Tis the (Retail) Season, Part II: Conducting Background Checks on Seasonal Workers

During the upcoming holiday season, many companies—especially those with retail operations—will be looking to expand their available workforce by hiring seasonal workers. Unfortunately, many of these temporary workers will be...more

More Focus on Employer Background Checks

The focus on employment background checks is not going away. A few weeks ago I wrote about Dollar General’s $4 million dollar settlement of a class action lawsuit based on alleged violations of the Fair Credit Reporting Act...more

FTC Issues Another Guide on Background Checks

As we reported in our prior alert, in March of this year, the Federal Trade Commission (“FTC”) issued a short brochure—Background Checks: What Job Applicants and Employees Should Know—on the use of background checks in hiring...more

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