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Contact Form for Whistleblowers with SEC or CFTC Claims

If you have knowledge of a securities or commodities law violation and would like Herskovits PLLC to evaluate your information and consider representing you in the matter:

  • Read this section.
  • Complete the following questionnaire.
  • Follow the instructions at the bottom of the page to complete the form and email it to us.

Our e-mail is not encrypted. If you are concerned about security, please print out this questionnaire and mail it to us. If you have trouble with the form or would rather fax or mail it to us, please print this page, fill it out and send it to us.

We ask that you submit information about your potential case in writing so that we may properly assess the merits of your allegations and the strategic issues they raise. This will help us make an informed decision about whether Herskovits PLLC will be able to represent you. Please provide as much detail as possible. If you have supporting documentation, please let us know what that documentation is. If you would rather write a narrative, please address all the issues the questionnaire raises.

By law, your communications with us during the evaluation process are regarded as privileged and confidential and will be treated by us accordingly.

We remind you that you also have a responsibility to keep information related to your case private. Do not post anything about the case or your allegations to your Facebook or other social media page. Do not blog or tweet about them. Public discussion of your allegations may be harmful to your case.

Contact Information:
Which Telephone Number Would You Prefer That We Call?
May We Contact You by E-mail?
Matter Information:

That Company's Location:

Please tell us what you know about the wrongdoing that is a concern. This could be securities law violations (such as mispricing of stocks, money laundering or accounting fraud), commodities law violations (such as market manipulation, options mispricing, derivative mispricing or Ponzi schemes), violations of the Foreign Corrupt Practices Act or other financial fraud or abuses.

If you have filled out the entire questionnaire and are ready to send it, please read the following.

  • By providing you these materials and by reviewing the information you send, Herskovits PLLC has not agreed to represent you nor have you agreed to retain Herskovits PLLC.
  • When we accept a case, we commit personnel, money and other resources to bring it to a successful conclusion. Because of that commitment, we conduct thorough analyses of potential cases before we accept them.
  • Our review to determine whether to accept your case may take some time for several reasons. Before we commit ourselves to representing someone, we thoroughly analyze the applicability of the law to the potential case. This process may include an investigation of the facts presented and sometimes consultations with experts in the field. At the same time, we must continue to work on our existing cases and conduct reviews of other potential lawsuits. If you have any questions, please feel free to contact us at any time about the status of our review of your potential case.
  • Part of our analysis of your potential case will focus on practical considerations. Cases may be too small or too unsubstantiated (and therefore too risky) to justify the commitment of our firm's resources.

If you would like Herskovits PLLC to review your potential case and you have filled out the above questionnaire, please acknowledge that you have read the above considerations and agree to them by entering your name and the date below.

Note: The questionnaire cannot be sent unless you enter your name and the date in the spaces above.


Please do not include any confidential or sensitive information in this form. This form sends information by non-encrypted e-mail which is not secure.

Submitting this form does not create an attorney-client relationship.

Client Reviews
I give Rob Herskovits and his law firm my strongest possible recommendation. He expertly guided me through a challenging and highly adversarial FINRA disciplinary hearing. Due largely to Rob's extraordinary efforts, each of FINRA's charges were ultimately dismissed by the hearing panel. It is unusual to beat FINRA on their home court, and I'm grateful to have had Rob by my side. Matt D.
Rob has handled customer matters (mediations and arbitrations) as well as regulatory matters for my firm. He is very knowledgeable about the process, and can explain the details in layman's terms. Rob presented our case very well and achieved successful results in every engagement. Jay
I give Robert my highest recommendation. He and his firm helped me through what could have been an extended and financially troubling time. I am not sure that I could have cleared up a false accusation by a previous client had it not been for Robert and his firm, and for that I am very grateful. Derrick
Rob was great he helped my partner and I last year get two cases removed from our record that had no merit. You know how the firms are they represent themselves and settle we suffer. Rob represents you and he’s great!! Jeremy