Robert L. HerskovitsManaging Member
Since he began practicing law in 1996, Robert Herskovits has represented securities industry participants in a variety of litigation, arbitration and enforcement actions, first as associate general counsel to an NYSE broker-dealer firm, and later as an attorney and partner at various law firms. He is a certified arbitrator for FINRA, AAA, and the NFA, and has participated in an estimated 200 arbitration proceedings before FINRA.
At the end of 2011, Robert formed Herskovits PLLC to provide legal representation to broker-dealers, investment advisors, securities industry professionals, and investors in securities litigation, securities arbitration and securities industry regulatory defense for matters appearing before FINRA and other self-regulatory bodies, as well as before the SEC, state securities authorities, and state and federal courts. In addition to dealing with regulatory matters, Robert provides representation in employment, contract, and general commercial litigation for these same financial services clients.
The impetus for founding his own firm was Robert’s recognition that securities and financial services industry clients were not always being well-served by some of the larger law firms, particularly with regard to billing inefficiencies. He recognized that, sometimes, their large size and broad practice structure actually hindered them from constructing the hands-on, personal relationships necessary to truly understand their client’s priorities and goals in representative matters.
He formed Herskovits PLLC to fill a void in the marketplace by offering clients involved in the securities profession experienced legal services while still recognizing and appreciating the budgetary limitations imposed on these businesses by a weak economy and a constrained market. Robert’s insight is to provide a broad range of business-related services in a small-firm atmosphere, so that his clients do not have to deal with multiple firms or, alternatively, work with multiple attorneys at a single large firm who are unfamiliar with the particular concerns that securities industry participants face. Herskovits PLLC knows its clients, understands its clients’ business, and provides its clients with offer cost-effective representation.
Robert is dedicated to providing legal expertise and advocacy that will empower his securities and financial services clients to operate their businesses and pursue their professions with as little disruption and cost as possible when faced with problems, whether they are customer or employee disputes, enforcement actions, or regulatory investigations.
Prior to forming Herskovits PLLC, Robert was a partner with Gusrae Kaplan Nusbaum PLLC, for more than five years. He received his J.D. from the Benjamin N. Cardozo School of Law in 1996, and a BA from Syracuse University. Robert is the Co-Chair of the Committee for Securities and Exchanges of the New York County Lawyers' Association, and is admitted to practice in the State of New York and before various federal courts, including the U.S. District Court, Southern District of New York, U.S. District Court, Eastern District of New York, the U.S. Court of Appeals, 2nd Circuit, and the U.S. Supreme Court.
Robert is rated AV (preeminent) by Martindale-Hubbell for securities law, litigation and alternative dispute resolution. Martindale-Hubbell is a nationally recognized and respected directory of attorneys and law firms whose ratings are based upon peer review and input related to an attorney’s ethical standards, legal knowledge, analytical capabilities, experience, judgment, and communication skills. AV is the highest rating achievable.
Robert’s accomplishments were also recently recognized by Thomson Reuters’ publication, “Super Lawyers,” as a “2011 Rising Star” in business litigation. Thomson Reuters, one of the world’s leading information resources providers and the producer of FindLaw and West’s legal publications including WestLaw, created the “Super Lawyers” rating system to highlight attorneys in over 70 practice areas who have been recognized by their peers as exceptional in their field. The “Rising Stars” designation focuses upon attorneys under 40 who have attained an unusually high level of professional achievement.
- COMPLIANCE WATCH: Firms Ponder When To Weed Out Archives (Dow Jones News Service)
- Picking Your Battles With Regulators (Dow Jones News Service)
- UBS to Pay Former Recruiter $2.8M (On Wall Street)
- New York County Lawyer, September 2011
- Brokerage Sues Ex-Employee, Others Over Stolen Data (Law360)
- Herskovits PLLC Formed by Veteran Securities Industry Lawyer (PR Newswire)