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[VIDEO] Securities Employment Disputes:

[VIDEO] Securities Employment Disputes:

Broker Recruiting Protocol

Rob Herskovits, the go-to securities lawyer for employment disputes, looks at FAs changing jobs and the effect of employment agreements they signed with a broker-dealer. Rob addresses non-competes, non-solicitation rules and realities, and other issues including the Protocol for Broker Recruiting. What happens when an FA leaves a Protocol signatory firm? And what are the real-world exceptions to those rules? Get answers on this element of Securities Employment Disputes: Broker Recruiting...

[VIDEO] Securities Professionals Employment Disputes - Forgivable Loans

[VIDEO] Securities Professionals Employment Disputes - Forgivable Loans

Veteran securities lawyer Rob Herskovits looks at Forgivable Loans in high stakes securities industry employment disputes. His New York based securities law firm handles both the defense and prosecution of employee forgivable loan cases. Disputes typically arise when a financial advisor and a broker dealer where he was formerly employed are at odds on repayment of a promissory note. An insider's guide to the rules and realities of employee forgivable loans and disputes from an experienced...

[VIDEO] Securities Industry Employment Agreements - Restrictive Covenants

[VIDEO] Securities Industry Employment Agreements - Restrictive Covenants

Restrictive covenants in your employment agreement with a financial institution can have profound career implications. However, they are never as simple as the language on the page and must be taken both seriously and in context. Securities lawyer Rob Herskovits has nearly two decades of experience addressing all aspects employment in this unique sector. This video shares insights about restrictive covenants - high value information for both employers and employees.

[Video] FINRA Investigations: U4 & U5 Disputes & Defenses

[Video] FINRA Investigations: U4 & U5 Disputes & Defenses

FINRA investigations relating to U4 disclosures and U5 terminations are explained by Rob Herskovits, a NY based securities lawyer with a national practice focused on helping financial advisors and broker dealers defend themselves and protect their rights, their assets and securities industry careers. Rob Herskovits focuses here on defenses in U4 and U5 based FINRA inquiries.
Transcript of NY Securities Regulatory Defense Lawyer Rob Herskovits, Managing Parter at Herskovits PLLC, on U4...

[Video] FINRA Investigations 101: Investigation Process & Defense

[Video] FINRA Investigations 101: Investigation Process & Defense

FINRA investigation lawyer Rob Herskovits, a New York based securities lawyer with a practice focus on defending broker dealers and advisors targeted by FINRA, looks at the first phase of the investigation process: the 8210 request for information and documents.
Transcript of New York Securities Lawyer Rob Herskovits on the First Phase of FINRA Investigations & Defense Strategy Hi, this is Rob Herskovits from Herskovits PLLC.  By now you have in your hands a letter from...