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Herskovits PLLC provides legal counsel exclusively to individuals in the financial services industry. We have experience in a broad range of securities matters, and our managing partner has handled over 200 Financial Industry Regulatory Authority (FINRA) arbitrations with an impressive record of success. Although we are a small firm, our size is one of our best assets, and it allows us to provide unmatched client service at affordable and predicable rates. Our office is located in New York City, but we can at times provide legal counsel to individuals in Portland, Eugene, Salem, Gresham, Hillsboro, and other cities across Oregon, subject to admission pro hac vice. We are licensed to practice law in New York only and this webpage is for general informational purposes only.

Oregon "Blue Sky" Laws

Although the United States Securities and Exchange Commission (SEC) regulates and enforces the securities laws at the federal level, each state has its own securities laws, known as "Blue Sky" laws. In Oregon, this law is the Oregon Securities Law, and the Division of Finance and Corporate Securities (the "Division") regulates the securities industry. The Division licenses entities and individuals who sell securities in Oregon. It also operates an investor information program to help prevent investment fraud, as well as an ID theft program that seeks to inform individuals about the issues that surround identity theft.

Because it is common for securities disputes to involve large sums of money, it is prudent to obtain the representation of an experienced securities attorney to handle these matters. In a recent case, for example, an arbitration panel in Portland awarded Claimants over $130,000 in compensatory damages, $41,000 in interest, and $51,000 in attorneys' fees. [In the Matter of the FINRA Arbitration Between Leo Bruss and Dorothy Bruss, Claimants, v. Lee Alexander Gold and Steven John Simone, Respondents (FINRA Arbitration 11-02343, April 18, 2012)].

In the above matter, Claimants asserted three causes of action–churning, suitability, and elder abuse. They argued that Respondents improperly purchased common stock in New Way Capital, One Wall Street, Inc., and in a certain Australian initial public offering. Although Claimants asked for punitive damages, they were denied.

Herskovits PLLC can Help You Navigate Federal and State Securities Laws

If you need assistance with a securities matter, you should contact an experienced securities attorney. Herskovits PLLC has the knowledge and skill to handle your case, and we have experience in numerous securities matters, including litigation and regulatory enforcement. Although we are a small firm, our size permits us to avoid the conflicts of interest faced by larger firms and represent clients with numerous claims.

We are located in New York, but we can represent industry participants in states throughout the country. If you would like to find out more about our firm or our services, please contact us by calling (212) 897-5410. You may also fill out our contact form, and we will promptly respond to your inquiry. We look forward to hearing from you.

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