In Part IV of this series, join Epstein Becker Green’s John F. Fullerton III, Brian L. Friedman, and Victoria Sloan Lin as they address the nuances of internal and external investigations.
In the financial services industry, investigations by the government or self-regulatory organizations are commonplace, and because they inevitably involve employee conduct (or misconduct), there is frequently an internal employment-related investigatory component. With potential financial liability and reputational harm ever-present, the strength of a company’s investigatory process is critical.
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.
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.
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
BRIAN L. FRIEDMAN is a Member of the Firm in the Litigation & Business Disputes practice, in the New York office of Epstein Becker Green. He has experience representing clients in a variety of industries, including financial services and securities, real estate and construction, retail goods and services, insurance, and health care. A substantial portion of his practice is devoted to representing banks, broker-dealers, futures commission merchants, swap dealers, and other leading financial institutions in litigation and regulatory matters.
Mr. Friedman regularly appears in federal and state courts and before arbitrators and administrative agencies. He has handled jury trials, arbitrations, mediations, TRO hearings, and preliminary injunction hearings covering a broad range of complex legal and factual issues.
In addition, Mr. Friedman has handled, on a pro bono basis, juvenile criminal appeals and divorce proceedings as well as matters involving special education in prison.
Before joining Epstein Becker Green, Mr. Friedman was a Senior Counsel at an international firm, where he was also a member of the firm’s Financial Services Practice Group and Securities Litigation Practice Group.
Active in his community, Mr. Friedman currently serves as a Trustee on the Board of Education for the Irvington (NY) Union Free School District.
VICTORIA SLOAN LIN is a Member of the Firm in the Employment, Labor & Workforce Management and Litigation practices, in the New York office of Epstein Becker Green. In 2018, she was recommended in The Legal 500 United States, in the Workplace and Employment Counseling category, and she was selected to the New York Metro Rising Stars list (2012 to 2016) and named to the New York Metro Super Lawyers list (2018) in the area of Employment Litigation: Defense and Business Litigation.
Ms. Sloan Lin's practice focuses on litigation, mediation, and arbitration involving complex employment and commercial disputes. She works closely with financial services, health care, retail, technology, and other employers to formulate clear and efficient legal strategies.
Ms. Sloan Lin:
Ms. Sloan Lin's representative experience includes: