David T. Harmon, Co-Chair of the firm’s Executive Compensation and Employee Benefits Practice Group and a member of the firm’s Management Committee, focuses his practice on the areas of executive compensation, employment, and business law.

David represents senior-level employees of both public and private companies in the negotiation of their employment packages and all associated agreements, whether at the commencement of the employment relationship through offer letters and employment agreements or at termination through severance agreements.  His successful negotiation of employment and severance packages for clients includes employment and post-employment compensation, confidentiality, non-compete, non-solicitation, non-poach, and garden leave covenants, the Protocol for Broker Recruiting, change of control provisions, and benefits and protections within the structures and strategies for those packages.

His representation also includes providing advice and counsel to employers in the preparation and negotiation of employment and severance packages with their employees, the design of human resources compliance programs, including employee policy manuals, and counseling and training concerning the implementation of those policies. David also provides neutral investigative services in employment matters.

David provides comprehensive employment evaluations, strategic solutions, and coaching within a variety of industries, including financial services, marketing, advertising, health care, design, branding, publishing, fashion, engineering, real estate, and pharmaceutical, among others.

David’s practice includes representation in FINRA, AAA, and JAMS arbitrations and mediations involving employment and customer disputes, FINRA and other regulatory investigations, disciplinary matters, as well as Forms U4 and U5 expungement and related employment matters.

David also serves as outside general counsel and strategist for small and medium-sized companies in their general business, employment, and transactional matters.

David is a former member of the Board of Directors of the Wall Street Technology Association. He is a member of the Business Law and Labor & Employment Sections of the New York State and American Bar Associations.

David has published many articles and frequently speaks on various legal topics.  David is also frequently quoted, most recently in Advisor HubLadders, FundFire, and The Wall Street Journal.  He has also been quoted in Broker’s World, a Dow Jones Newswire Publication, the Hedge Fund Law Report, the definitive source of actionable intelligence on hedge funds, and in the annual advisor compensation report in Registered Rep., the financial professionals’ source for breaking news, advice, and what is happening in the industry. He also co-authored a chapter entitled, “Perspectives for Management and Executives on Structuring and Negotiating the Package: It’s not Just About the Dollars,” for a book entitled, Inside the Minds: Employee Benefits and Executive Compensation Plans, for Aspatore Books, a Thomson Business Publisher. David maintains a blog, Transitions in Employment, which focuses on developments in employment agreements, offer letters, severance packages, garden leaves, and non-compete and non-solicitation restrictions, confidentiality agreements, changes in control, deferred compensation, stock options, bonuses, commissions, equity, benefits, and other employment and business developments.

Following a clerkship in the Appellate Division of the New York State Supreme Court, David began his career at the Wall Street law firm of Mudge Rose Guthrie Alexander & Ferdon.


Blog - Employment Transitions Law Blog

In the News: Employment Agreements and Confidentiality Obligations

An “Employment Disaster Recovery Bag” Is a Must!

Financial Advisors: Know Your Post-Employment Restrictions Before Making a Move

Fluctuating Workweek Overtime Method May Be Changed with Proposal from U.S. Department of Labor

The Truth About Firm-Wide Employment Terminations

Revenge is Not Always a Dish Best Served Cold: Employer Retaliation Can Be Costly

Companies’ Utilization of Fitness Data Raises Privacy Concerns

In the News: Fired UBS Broker Gets to Keep Half-Million-Dollar Note Balance

In the News: UBS Sues Fired Broker Who Didn’t Pay Arbitration Award

Reasons Not to Quit a New Job

Too Many Cooks Spoil the Broth

In the News: Wells Fargo Advisors to Tell Customers They can Keep Data Away from Brokers

Back to the Future: 2018 and the Protocol for Broker Recruiting

In The News: Fleeing Morgan Stanley Brokers Improperly Solicit Clients

In The News: UBS Exits Protocol for Broker Recruiting

In The News: Headhunter Offers to Pay Morgan Stanley Brokers’ Legal Fees

Suggestions on Avoiding Mishaps in Employee Discipline or Termination

In The News: 7 Ways Morgan Stanley’s Protocol Exit Will Backfire

The New Meeting Trend

Morgan Stanley Withdrawing from the Protocol for Broker Recruiting

Employers Pull Plug on Remote Work

IN THE NEWS: New Case Shows You Have To Check Your LinkedIn Contacts After Leaving a Job

2017 Wall Street Women Forum: Recharging in Times of Change

No Right to Privacy in the Workplace

IN THE NEWS: J.P. Morgan Pursues Arbitration Case Against Advisors

New Target Executive Sued By Amazon

An “Employment Disaster Recovery Bag” Is A Must!

IN THE NEWS: J.P Morgan Sues Former Advisor Team

Mega-Merger Collapses: Be Careful What You Wish For

IN THE NEWS: What Are the Legal Implications of Ruder Finn Group Situation?

IN THE NEWS: Cheniere Energy and Barclays Executive Compensation Issues

As Summer Winds Down, Ease Off Your Electronics

Is the Anti-Management Business Model Sustainable?

Stay or Go: Options Are Limited When Your Firm Has Been Indicted

The Responsibilities of C-Suite Are Evolving

Developments in New York City Labor Law

Don’t Alert Clients Before Defecting

Getting On Board As A Team Player With The New CEO

Cash is King?

Phantom Job Listings

Not My iPhone!

Do You Have A Termination Recovery Plan?

Part V: Negotiating the Employment Package That Is Best for You – The Fine Print Matters

Part IV: Negotiating the Employment Package That Is Best for You – The Fine Print Matters

Duke’s CEO-for-a-Day Due Around $44 Million in Severance Payments

Part III: Negotiating the Employment Package That Is Best for You – The Fine Print Matters

PART II: Negotiating the Employment Package That Is Best for You – The Fine Print Matters

PART I: Negotiating the Employment Package That Is Best for You – The Fine Print Matters

One Tweet Too Many

Lessons Learned from Yahoo! CEO Flap

Other Restrictions May Also Confine Post-Termination Activities

Tech Companies Get Creative to Woo Talent

C-Suite Executives Should Carefully Consider Obtaining Insurance Policies of Indemnification

Short-Term Gratification May Have Serious Repercussions

What Should We Make of Greg Smith’s Resignation Op-Ed in Today’s New York Times?

Another Perspective on the Role of the Attorney in an Employment Deal

There Are Potential Pitfalls to “The $100 Million Giveback”

It’s All About LEVERAGE in the Negotiation of a Renewal Contract

Non-Profit Employment Contracts with Six Figure Severance Payments Draw Scrutiny

Jury Decides in Drapkin’s Favor in Quarrel Over Severance Payment

IN THE NEWS: What’s the Impact of Compliance with Post-Employment Obligations on Severance Agreements?

Be Wary As Companies Consider Modifying Deferred Compensation

What Are the Tax Implications of Changes in Morgan Stanley’s Compensation Structure?

When Should You Retain Counsel in connection with Termination of Employment?

IN THE NEWS: Wall Street Expects Lower Bonuses

IN THE NEWS: Tips for Advisers At Bankrupt Firms


IN THE NEWS: Execs and Employees React to Compensation Changes at Jefferies Group

Welcome to Transitions in Employment!

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David Harmon Martindale-Hubbell Peer Review Rating

David T. Harmon has earned the Martindale-Hubbell AV Preeminent® status. A description of the selection methodology can be found here.

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