Financial Services Part II: Dodd-Frank and Sarbanes-Oxley Whistleblower Investigations and Litigation

(247 Ratings)

Produced on: June 15, 2015

Course Format On Demand Audio

Taught by

Categories:

Course Description

Time 60 minutes
Difficulty Intermediate

In Part II of this Financial Services curriculum, the lawyers of Epstein Becker’s financial services strategic industry group provide an update on the most recent developments in Dodd-Frank and Sarbanes-Oxley whistleblower compliance and litigation.  They focus on pertinent case law as well as enforcement activities at the SEC.

 

Learning Objectives:

I.     Understand the latest whistleblower developments and what they mean for financial services employers 

II.    Recognize the ways that whistleblower statutes can affect all financial services firms, both public and private 

III.   Grasp what whistleblower developments may be on the horizon

Faculty

John F. Fullerton III

Epstein Becker Green

JOHN F. FULLERTON III is a Member of the Firm in the Labor and Employment practice, in the New York office of Epstein Becker Green. He has substantial experience serving clients in the financial, health care, sports, real estate, and building service industries.

Mr. Fullerton:

  • Represents employers in Sarbanes-Oxley and Dodd-Frank whistleblower compliance and litigation defense
  • Represents employers in litigation, arbitration, and mediation matters concerning discrimination, wage and hour, restrictive covenant/non-compete, and wrongful termination claims
  • Counsels employers on workplace issues, including hiring and promotion, firing and discipline, wage and hour, and the implementation of employment policies, to ensure compliance with federal and state laws
  • Counsels clients on drafting all types of employment, consulting, and separation agreements
  • Represents clients in labor relations and collective bargaining
  • Provides corporate transactional advice on labor and employment issues
  • Mr. Fullerton has represented all four major sports leagues over the course of his career. In February 2014, he successfully represented the Cleveland Indians in salary arbitration with relief pitcher Vinnie Pestano. 

Since 2004, Mr. Fullerton has been an adjunct professor of law at Pace University School of Law, where he has taught classes in labor law and advanced appellate advocacy and served for nine years as the faculty advisor to the law school's National Moot Court team. A frequent lecturer, Mr. Fullerton has authored numerous articles on labor and employment topics for various publications, including The National Law Journal, The New York Law Journal, The Labor Lawyer, Employment Law360, Real Estate Weekly, Corporate Counsel, and Dispute Resolution Journal. He has also authored the book Employment Separation Agreements Line by Line: A Detailed Look at Employment Separation Agreements and How to Change Them to Meet Your Clients' Needs, published by Thomson West in 2011. He edits and contributes to the Financial Services Employment Law Blog and serves as coeditor of the firm's Act Now Advisories.

Mr. Fullerton is a graduate of Brown University and New York University School of Law, where he was editor-in-chief of the Moot Court Casebook and a recipient of the New York Council of Defense Lawyers' Norman Ostrow Scholarship. Following graduation, he clerked for the Hon. Allyne R. Ross of the U.S. District Court for the Eastern District of New York.

 Mr. Fullerton has been selected for inclusion in The Best Lawyers in America (2007 to 2014) and New York Super Lawyers - Metro Edition (2007 to 2013). He is described as an "expert in labor union law" in the 2006 edition of Chambers USA: America's Leading Lawyers for Business.


MEMBERSHIPS

  • American Bar Association, Labor and Employment Law Section
  • New York State Bar Association, Labor and Employment Law Section
  • SIFMA Compliance & Legal Society
  • Society for Human Resource Management

BAR ADMISSIONS

Massachusetts

New York

COURT ADMISSIONS

Supreme Court of the United States

U.S. Court of Appeals for the Second Circuit

U.S. District Court, Eastern District of New York

U.S. District Court, Southern District of New York

EDUCATION

J.D., New York University School of Law, 1994

B.A., Brown University, magna cum laude, 1988

William J. Milani

Epstein Becker & Green

William J. Milani is a Member of the Firm in the Labor and Employment practice of Epstein Becker Green. Based in New York, he heads the firm's International Employment Law group and is the Vice Chair of the firm's Board of Directors.

 

Mr. Milani is actively engaged in the private practice of labor and employment law exclusively on behalf of multinational and domestic corporations, with particular experience representing clients in the financial services industry. He has received an "AV Preeminent" Peer Review Rating by Martindale-Hubbell, signifying the highest level of professional excellence, and, in 2013, he was cited by Martindale-Hubbell and The American Lawyer as a "Top Rated Lawyer in Labor & Employment." He has also been selected by his peers for inclusion in The Best Lawyers in America (2009 to 2015) in the fields of Employment Law—Management and Labor Law—Management, named to the New York Metro Super Lawyers list (2011 to 2014) in the areas of Employment & Labor, and listed in PLC Which Lawyer? Yearbook (2008 to 2012).

 

Mr. Milani:

  • Advises employers in a variety of industries in all facets of employment law, including compliance with EEO laws and other statutes governing the workplace
  • Counsels employers on the prevention of personnel disputes, employee discharge and discipline and the development and implementation of personnel policies and procedures
  • Has significant experience with the preparation of employment agreements and non-compete arrangements, the development of severance plans and policies and the employment-related issues attendant to mergers and acquisitions, reorganizations and alternative dispute resolution
  • Counsels multinational companies on the unique labor and employment law issues they face
  • Conducts training around the world concerning harassment, diversity and EEO issues
  • Mr. Milani is on the adjunct faculty of the Cornell University School of Industrial and Labor Relations, where he teaches courses concerning human resources and the law. He has lectured extensively throughout the United States and overseas. He contributes to the Financial Services Employment Law Blog and is the author of numerous publications on employment law issues.

Lauri F. Rasnick

Epstein Becker & Green

Lauri F. Rasnick is a Member of the Firm in the Labor and Employment practice in the firm's New York office.

 

Ms. Rasnick has significant experience representing employers in labor and employment matters. She regularly advises clients in many aspects of the employment relationship, including avoidance of litigation, employee terminations, disability and religious accommodation issues, wage and hour compliance, internal investigations, labor relations, and compliance with federal, state and local statutes. Ms. Rasnick frequently advises clients on the enforcement and drafting of restrictive covenants and employment agreements, and defends claims for bonuses and other compensation and litigates claims involving restrictive covenants and trade secrets.

 

Ms. Rasnick has also represented employers in a full spectrum of employment law matters in federal and state courts and before administrative agencies. She has also engaged in the mediation and arbitration of employment claims, both in the traditional labor and employment contexts.

 

Ms. Rasnick writes and speaks on a variety of employment issues, including sexual harassment and respect in the workplace, wage and hour practices, the Family and Medical Leave Act, preventing and dealing with employment discrimination claims and charges, the Fair Credit Reporting Act, E-mail and Internet usage, creating appropriate employment policies, union avoidance, and trade secrets.

Reviews

CJ
Christopher J.

Good refresher on the topic.

RW
Robert W.

Good program

JB
John B.

The three panelists work well together.

QB
Quietta B.

Thanks!

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$ 59 Labor & Employment Law In Stock

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