Simon Garfield

Simon Garfield is an employment lawyer and commercial litigator. He counsels and represents employers in all aspects of the employment relationship, including international matters, reductions-in-force, and intellectual property protection. He has worked in both private practice and as in-house counsel in the financial services and proprietary trading industry. Simon’s clients value his broad knowledge base, tenacity, and versatility in tackling a wide variety of legal issues and providing pragmatic, solutions-oriented advice tailored to clients’ business needs.


  • Extensive experience representing employers in federal courts, state courts, and arbitration in defending claims of employment discrimination, wrongful discharge, harassment, breach of contract, ERISA benefits litigation, and a wide variety of other employment claims
  • Litigates unfair competition and trade secrets misappropriation matters for companies as plaintiffs and defendants; Member of trial team that obtained $40M judgment for theft of trade secrets relating to theft of source code for algorithmic trading system
  • Represented company interests during dispute among owners in Delaware Chancery Court regarding corporate control
Government Investigations & Litigation
  • Successfully represented employer in EEOC systemic investigation regarding employee training practices
  • Successfully resolved and obtained dismissal of numerous charges of discrimination filed with the Equal Employment Opportunity Commission and other state agencies
  • Represented employers in ICE investigations related to undocumented workers
  • Worked closely with FBI in criminal theft of trade secrets investigation
  • Represented financial services firm before domestic and international securities regulators and self-regulatory organizations
  • Successfully handled and obtained dismissal of whistleblower complaint filed under Sarbanes-Oxley
  • Drafts employment policies and handbooks to ensure compliance with employment laws
  • Extensive experience with regulatory compliance issues applicable to Broker Dealers, Investment Advisers, hedge funds, and automated high frequency trading
  • Managed implementation and compliance of privacy program under domestic and international privacy regimes
  •  Managed international expansion and development of compliance framework to ensure compliance with local employment, corporate, financial services, and tax laws.
Due Diligence/Corporate
  • Represented private equity investors in transactions by performing due diligence on labor and employment issues and post-transaction transition issues
  • Served as lead attorney negotiating asset purchase agreements for acquisition of companies
  • Managed entity management, inter-company agreements, and corporate secretary function for privately-held financial services firm
  • Works with employers to draft employee handbooks and advises employers on drafting employer policies and procedures
  • Advises clients on employment-related issues, including the hiring, retention, termination, and wages of employees
  • Advises clients on difficult employment-related issues, including high risk terminations, reductions-in-force, and restrictive covenants
  • Conducted investigations in response to employee complaints, including sensitive claims of discrimination, harassment, and other workplace misconduct
  • Conducted investigations relating to compliance with domestic and international securities laws and regulations
  • Successfully compelled cases to arbitration
  • Completed arbitration under NASD (predecessor to FINRA) arbitration program
  • Completed arbitrations under AAA rules
  • Extensive experience drafting, negotiating, and advising on employment agreements, procurement and vendor contracts, technology contracts, financial agreements (e.g. ISDA), data licenses, and service agreements
  • Implemented contract management system and workflow process for financial services firm
General Counsel
  • Served as general counsel to privately held financial services firm
  • Developed an in-sourcing program for complex litigation to minimize duplication of efforts among outside counsel in multi-jurisdiction litigation and reduce the costs of e-discovery and computer forensics
  • University of Houston Law Center, J.D. magna cum laude, 2003 (Order of the Coif, Head Articles Editor, Houston Journal of International Law, Moot Court)
  • University of Texas at Austin, B.A., Philosophy, B. Mus., Classical Guitar, 1996
  • Former General Counsel, Quantlab Financial, LLC
  • Former Associate, Labor & Employment Section, Jones Day, Akin Gump Strauss Hauer & Feld LLP, and Hunton & Williams LLP
  • State of Texas, US Court of Appeals for the Fifth Circuit, US Court of Appeals for the Fourth Circuit, U.S. District Court for the Southern, Eastern, Northern, and Western Districts of Texas
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