Herskovits PLLC

Herskovits 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:

FINRA Investigations and Enforcement or Disciplinary Actions
Securities Industry Employment Disputes
FINRA Investor Claims Defense
FINRA Investor Claims
SEC & CFTC Whistleblower Claims
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.

Locations	No. of Attorneys
New York City,	3

Practice Areas	No. of Attorneys
Litigation - Securities Litigation	3