Labor and Employment Law

Employee Benefits Law

Disability Rights Law


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Financial ServicesBroach & Stulberg, LLP represents employees in all sectors of the financial services industry, including commercial banks, investment banks, broker-dealers, hedge funds, private equity firms, and research firms. In addition to representation concerning basic employment-related matters [see Employment Law Practice], the firm counsels these clients about matters unique to their industry, including:

  • Employment, compensation, retention, assignment, separation, severance and consulting agreements;
  • Bonus compensation/incentive compensation (guaranteed, conditional discretionary, sign-on, retention);
  • Deferred compensation (restricted and unrestricted stock grants, stock options, notional interests);
  • Restrictive covenants (non-competition, non-solicitation, non-disclosure, confidentiality);
  • International assignment (domestic/secondment agreements, tax equalization agreements, cross-border application of domestic employment laws);
  • “Lift-outs” of banking/investment units or divisions;
  • Change in control/ successor agreements; and
  • Cause, No-cause, Good Reason terminations.

The firm represents Managing Directors, Directors and other executives and appears on behalf of these clients in a variety of forums, including the Financial Industry Regulatory Authority (formerly National Association of Securities Dealers Dispute Resolution and New York Stock Exchange Member Regulation), state and federal administrative agencies, state and federal court, and public and private mediation.

In cases involving expatriate employment, the firm has frequently acted in conjunction with law firms in foreign jurisdictions, including the United Kingdom and Switzerland.