Financial Services Part IV: Executive Compensation, Immigration, FINRA, and Internal Whistleblower Agreements and Policies

(445 Ratings)

Produced on: June 22, 2015

Course Format On Demand Audio

Taught by


Course Description

Time 123 minutes
Difficulty Intermediate

On this panel, Epstein Becker’s Financial Services strategic industry group discuss a number of topics that should be foremost in the minds of legal, compliance, and human resources professionals at financial services firms today. 


The discussions include key developments in immigration law, executive compensation, FINRA dispute resolution, and internal whistleblower policies and practices.


Learning Objectives:

I.      Grasp the changes that have occurred as the result of President Obama’s November 2014 Executive Orders on U.S. immigration policy, what changes may still be in the pipeline, and what employers can do to address some of the obstacles they will face until these changes occur 

II.     Understand which issues in the field of executive compensation are of foremost importance for financial services employers today

III.    Recognize FINRA dispute resolution rule changes that can impact how employers defend arbitrations at FINRA

IV.    Identify and respond to potential exposure in the area of Dodd-Frank whistleblower compliance as the result of heightened SEC scrutiny of employment agreements, standards of conduct and confidentiality policies


Gretchen Harders

Epstein Becker & Green

Ms. Harders' practice focuses on all aspects of executive compensation and employee benefits law. Ms. Harders counsels a broad range of clients on executive compensation and employee benefit issues, tax-qualified and non-qualified plans, 401(k) plans, the Patient Protection and Affordable Care Act, deferred compensation, executive incentive compensation plans, executive employment and severance agreements, Section 409A compliance, equity-based compensation plans, multiemployer plans and health and welfare plans and trusts.


Ms. Harders:

  • Advises corporate clients on employee benefits compliance matters, tax-qualified pension plan compliance, defined benefit plans, Section 401(k) plans, multiemployer plan funding and administration, health and welfare benefit plans and fringe benefit plans
  • Represents corporate clients and health care providers on health and welfare benefit plans, health care products and the impact of the Patient Protection and Affordable Care Act
  • Advises both corporate and individual clients on executive compensation issues, including the design of executive employment contracts, incentive compensation arrangements, stock option plans and severance agreements, with a concentration in cross-border executive compensation and the Dodd-Frank Wall Street Reform Act
  • Represents tax-exempt and not-for-profit institutions with respect to pension plans, executive compensation, deferred compensation and employee benefits compliance matters
  • Ms. Harders is a frequent speaker on various employee benefit issues and developments and has authored articles on various topics of ERISA and employee benefits law, including the Patient Protection and Affordable Care Act.


Ms. Harders has been selected for inclusion in The Best Lawyers in America – Employee Benefits (ERISA) Law (2014) and Super Lawyers New York Metro – Employee Benefits/ERISA (2013) and recommended by The Legal 500 United States (2013).



  • Chapter 24, "Claims, Disputes, and Settlements," Section 409A Handbook (BNA Books, Fall 2010).
  • "Surprises for Publicly-Traded Multinational Employers: Complying with Section 409A of the U.S. Internal Revenue Code," International Legal News, Volume 5, Issue 2 (Aug. 15, 2008).
  • "Applying new US tax rules on deferred compensation to cross border arrangements," PLC Cross Border Employee and Labour Benefits Handbook 2007/8, with Howard Pianko (Sept. 13, 2007).
  • "Cross-border employment contracts – practical considerations for the multinational employer," PLC Cross Border Employee and Labour Benefits Handbook 2006/7, with Howard Pianko (Aug. 10, 2006).
  • "Employer Stock Funds in Corporate Transactions: Tax and ERISA Considerations," BNA Tax Management Compensation Planning Journal (Feb. 2004).
  • "Employer Stock Funds in Corporate Transactions: Federal Securities Law Considerations," BNA Tax Management Compensation Planning Journal (April 2004).



  • Employee Benefits
  • Executive Compensation
  • Health and Welfare Plans
  • Mergers & Acquisitions/Downsizing
  • Multiemployer Plans
  • Retirement Plans
  • University of Minnesota Law School
  • J.D.,
  • cum laude, 1997
  • University of Chicago
  • B.A., 1989
  • New York
  • American Bar Association, Employee Benefits Committee, Tax Section
  • New York State Bar Association, Employee Benefits Committee, Tax Section

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.


  • 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



New York


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


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

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

Aime Dempsey

Epstein Becker & Green

Aime Dempsey is a Senior Attorney in the Litigation and Labor and Employment practices, in the firm's New York office. She handles a broad range of commercial and employment-related matters in federal and state courts and before arbitration tribunals and administrative agencies.


Ms. Dempsey has experience representing clients in a wide variety of industries and areas, concentrating on the financial services industry, but also including the advertising and media, health care, pharmaceutical, manufacturing and distributing, and not-for-profit industries. She is a member of the firm's Technology, Media, and Telecommunications strategic industry group.


Ms. Dempsey:

  • Represents clients in FINRA and American Arbitration Association arbitrations; such representation includes, among other things, handling customer disputes against financial services industry clients
  • Represents financial services and other clients in restrictive covenant and related matters in federal, state, and arbitration forums
  • Represents clients with respect to allegations related to the suitability and scope of financial investments, including disputes among financial entities as well as claims from customers
  • Additionally, Ms. Dempsey has assisted in writing columns appearing in The New York Law Journal on securities-related topics and has given CLE-qualified seminars on New York practice. She is active in her community, currently sitting on the Board of Trustees for non-profit Briarcliff Nursery School and the Executive Board of the local PTA. Ms. Dempsey was also a Cub Scout den leader.

Kimberly N. Grant

Epstein Becker & Green

Kimberly N. Grant is Senior Counsel in the Labor and Employment practice, in the New York office of Epstein Becker Green. She has served clients in the consumer products, specialty packaging, hospitality, pharmaceutical and biopharmaceutical, medical device, specialty chemicals, content marketing, aviation, and confectionery industries, among others.


Ms. Grant:

  • Provides strategic corporate immigration counsel to clients ranging from small and medium-sized organizations to Fortune 500 companies
  • Prepares and submits petitions (including H-1B, L-1, O-1, J-1, H-3, TN, and E-3 petitions) and employment-based permanent residence cases to the U.S. Citizenship and Immigration Services (USCIS), U.S. Department of Labor, and other government agencies
  • Has extensive experience with employment-based temporary and permanent visa categories (including the preparation of PERM labor certification applications, multinational manager and executive petitions, outstanding researcher petitions, national interest waiver petitions, and petitions for scientists, engineers, and business professionals of extraordinary ability categories) and applications for naturalization and expedited 319(b) naturalization
  • Advises companies on Form I-9 compliance


Prior to joining Epstein Becker Green, Ms. Grant was an attorney at a corporate immigration law firm, where she focused on providing advice to human resources personnel, in-house counsel, and foreign national employees in the area of U.S. immigration law. Previously, she clerked in the Immigration Unit of the U.S. Court of Appeals for the Second Circuit, where she researched and drafted bench memoranda on immigration law issues.


Ms. Grant regularly lectures on U.S. immigration laws and compliance topics and provides pro bono services, which have included counseling natives of Haiti on applying for Temporary Protected Status (TPS) and work authorization following the earthquake in Haiti in 2010.


In 2014, Ms. Grant was named to the New Jersey Rising Stars list in the area of Immigration. While at law school, Ms. Grant received the Dr. Samuel Belkin Award for exceptional contribution to the growth and development of Cardozo Law School. She also was the James Boskey Alternative Dispute Resolution (ADR) Writing Competition Winner, which was presented by the American Bar Association’s Section of Dispute Resolution.


Representative Experience

  • Served as an Alternate Responsible Officer (ARO) of the J-1 exchange visitor program for a multinational organization in the pharmaceutical industry
  • Assists prominent professionals, including vice presidents, scientists, researchers, and engineers with obtaining “extraordinary ability” and “outstanding researcher” classifications based on demonstrated international expertise and prominence in their fields
  • Guided clients on the immigration aspects of acquisitions and corporate restructuring, as well as Form I-9 employer compliance and strategic integration of new case matters following mergers and acquisitions
  • Successfully appealed an I-140 multinational manager petition to the Administrative Appeals Office (AAO) within the USCIS, demonstrating that the client company was a “successor in interest” and, therefore, that a qualifying relationship existed between the overseas and U.S. legal entities
  • Attended adjustment of status, immigrant visa petition, and naturalization interviews with clients at USCIS offices in numerous states
  • Provided training sessions on U.S. immigration laws and compliance, Form I-9 employment verification compliance, and global mobility trends to numerous Fortune 500 companies

Jennifer Taler

Berry Appleman and Leiden

Jennifer Taler is an Associate at Berry Appleman and Leiden. She represents large multinational clients and their employees across a wide range of immigration matters.


Ms. Taler’s experience includes:

Advising employers on business-related immigration matters involving the recruitment, hiring, transfer, and retention of foreign nationals in the United States

Securing employment-based nonimmigrant and immigrant visas for employees of large multinational corporations

Advising on immigration options and strategies for front, middle, and back-office positions based on a client’s long- and short-term global mobility needs

Counseling clients on all aspects of the permanent residency process

Prior to joining Epstein Becker Green, Ms. Taler was an associate in the Immigration Practice Group of a commercial law firm in New York City.


While attending law school, Ms. Taler was an Associate Editor of the Fordham Intellectual Property, Media & Entertainment Law Journal and a two-time national competitor for Fordham’s Moot Court team. She also served as a legal intern in the Civil Division of the U.S. Attorney’s Office for the Eastern District of New York in Brooklyn, New York; a judicial extern for Judge Mary Catherine Cuff of the Superior Court of New Jersey, Appellate Division, in West Long Branch, New Jersey; and a Summer Law Intern in the Law Department of the Port Authority of New York and New Jersey.


Christoper M.

Great speakers Great speakers Great speakers

Mary E.

Excellent coverage of tricky topics

Della S.

Great presentation! Engaging and knowledgeable presenters. I felt the content was very helpful in understanding this area of law. Thank you!

John K.

Invaluable issues overview

Rodney S.


Jane C.

The material was complex and probably not enough time allotted to really cover it as thoroughly as I would have liked

Gary C.

real well done

John B.

I viewed Part IV first and it was very good. I am going to do the other 3 parts.

andy a.

Great Course

Steven P.

Nice overview of more hot topics

Richard K.

Very informative.

Peter B.

Excellent introductory material to these topics

Michael T T.

found to be helpful

Marie C.

Today's presentation was very well done. I would recommend all parts of this Financial Services series.

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