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The Firm

New York Stock Exchange with patriot flagHerskovits PLLC is a team of experienced and talented securities lawyers, New York-based with a national practice. As litigation and regulatory enforcement attorneys, we represent broker-dealers, financial institutions, and advisors in a variety of circumstances including:

And in all other securities litigation, appeals in Federal and state courts and regulatory forums.

If you are targeted by regulators, engaged in a securities employment dispute, or involved in any other high stakes securities matter, we can help. With two decades of securities law experience, Rob Herskovits and the Herskovits Law team are the choices for financial firms, broker-dealers, and advisors when a premium level of legal counsel is required.

FINRA Investigations and Enforcement or Disciplinary Actions

We defend securities professionals and broker-dealers facing FINRA investigations, complaints, hearings, disciplinary actions, and examinations by the SEC & other securities regulators.

FINRA, the SEC and other regulators are increasingly aggressive each year so our strategy for industry participants is to be meticulous, strategic and very proactive in response to inquiries.

If you are the subject of a FINRA investigation or believe you are a target of a FINRA inquiry, you should act quickly to preserve your legal rights and professional reputation as they are likely already building a case against you.

To learn your rights and options call a Herskovits PLLC securities lawyer for a confidential discussion: (212) 897-5410 or Contact Us. We have 20 years of positive outcomes in difficult and complex cases.

Securities Industry Employment Disputes

High stakes finances and individual careers are at risk in disputes between brokerage firms and representatives. With 20 years’ experience in securities industry employment disputes, we know the rules and realities, what to expect and how to optimize your outcome.

Our lawyers work exclusively in the securities arena with employment disputes a substantial portion of our law practice. Among the many categories of dispute are:

  • Compensation disagreements
  • Bonus loan balances – Employee forgivable loans
  • Client complaints
  • Wrongful termination
  • Raiding
  • U5 termination expungements
  • U4 disclosure matters
  • Unpaid deferred compensation
  • Restrictive covenants

The Herskovits securities law team has an exceptional track record of outcomes for securities professionals and firms facing employment disputes. Connect with us to learn your best options and strategy: (212) 897-5410 or Contact Us.

FINRA Investor Claims Defense

If you are a securities professional or financial institution facing a FINRA investor claim and arbitration, Rob Herskovits and his Herskovits PLLC team deliver a very proactive defense throughout FINRA’s arbitration process.

When investors lose money in the market they too often search for a target for blame and too eager FINRA investors’ lawyers press them to seek damages, refunds, attorneys’ fees and more. We often see weak or false claims with an investor law firm hoping for a settlement.

In these cases, our proactive legal defense strategy can result in a very favorable settlement or ideally an early dismissal.

We defend RAs, brokers, and firms facing a FINRA customer claim as well as advance-counsel securities industry professionals and financial firms anticipating such claims. Connect with a Herskovits PLLC attorney for a confidential strategy call: (212) 897-5410 or Contact Us.

FINRA Investor Claims

Investors with substantial losses from following negligent, reckless or patently bad advice of a broker or financial advisor frequently seek out Herskovits PLLC securities lawyers for a premium level of representation.

With 20 years’ experience representing broker-dealers and financial firms as well as investors, our legal team knows precisely what to expect and this knowledge gives our investor clients an edge against financial firms no matter how large.

Some investment losses are market-related but when your losses are substantial ($500,000 or more) due to a financial advisor’s failure to disclose material risks, failure to properly evaluate investments, any broker or financial advisor misconduct…in essence, failing to watch out for your interests resulting in substantial financial loss – our aggressive and experienced legal team can help.

To learn your options from legal veterans of more than 200 FINRA arbitration matters, give us a call for a confidential evaluation of your claim: (212) 897-5410or EMAIL US.

SEC & CFTC Whistleblower Claims and Cash Rewards

We represent whistleblowers who report fraud in SEC and CFTC whistleblower cases and investigate – package their claims in a proprietary manner to maximize rewards. In fact, Rob Herskovits represented a whistleblower who received the largest SEC whistleblower award in history at the time (2015).

Our whistleblower practice represents both U.S. citizens and foreign nationals with non-public information about securities fraud in these complex cases. We are known for meticulous advance-preparation of cases that make our claims stand out from the thousands received by the SEC and CFTC, thereby increasing the likelihood of a successful prosecution and ultimate whistleblower award for our clients.

Are you eligible for a whistleblower award? For an evaluation of your information, connect with us at: (212) 897-5410 or Report Online.

Call Now to Protect Your Rights

If you are a securities industry professional or firm, we know your business – Herskovits Law focuses exclusively on securities law. Our track record in federal and state court and other regulatory venues is well known and our attorneys are respected by the SEC, FINRA, CFTC leaders and staffs.

By the time you hear about regulatory action or litigation, your opponents are already preparing a case against you and/or your firm – you must act quickly to preserve your rights and to prepare the best possible defense. It is a fact that often an immediate proactive defense can result in a quick dismissal or other positive outcomes.

Legal action will affect your career, your reputation, your firm, and surely your income. Securities matters are fast moving and Herskovits PLLC lawyers are well versed in the law, well connected in the industry and we know your business. We can move fast and decisively from the first moment.

Connect Rob Herskovits and the Herskovits securities and regulatory team now for a Confidential and No-Cost evaluation of your circumstance and options: (212) 897-5410 or CONNECT ONLINE.

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