Robert L. Herskovits
Herskovits PLLC
I have decades of experience handling disputes and investigations within the securities industry. My approach to each matter is shaped by my background as an in-house lawyer for a brokerage firm and my experience serving as a FINRA arbitrator for securities industry disputes. My practice focuses on securities litigation and arbitration, as well as regulatory enforcement matters before FINRA, the SEC, and the CFTC. I provide counsel to broker-dealers, investment advisers, securities industry professionals, and defrauded investors in a variety of litigation, arbitration, and regulatory matters. I am certified as an arbitrator for FINRA, AAA, and the NFA.
I am actively involved in the legal community and have served as Co-Chair of the Committee for Securities and Exchanges of the New York County Lawyers' Association. My work has been recognized by third-party reviewers, including being named a "Super Lawyer" for securities litigation by Thomson Reuters from 2014 through 2024. Additionally, I hold an AV rating (preeminent) from Martindale-Hubbell’s peer review ratings.
I earned my JD from the Benjamin N. Cardozo School of Law and my BA from Syracuse University. I am admitted to practice in the State of New York and before several federal courts, including the U.S. District Court for the Southern and Eastern Districts of New York, the U.S. Court of Appeals for the Second Circuit, and the U.S. Supreme Court.
- Securities Law
- Stockbroker & Investment Fraud
- Arbitration & Mediation
- Business - Arbitration/Mediation, Consumer - Arbitration/Mediation, Family - Arbitration/Mediation
- Employment Law
- Employee Benefits, Employment Contracts, Employment Discrimination, ERISA, Overtime & Unpaid Wages, Sexual Harassment, Whistleblower, Wrongful Termination
- Business Law
- Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Franchising, Mergers & Acquisitions, Partnership & Shareholder Disputes
- Gov & Administrative Law
- Administrative Law, Election Law, Government Contracts, Government Finance, Legislative & Government Affairs
- Criminal Law
- Criminal Appeals, Drug Crimes, Expungement, Fraud, Gun Crimes, Internet Crimes, Sex Crimes, Theft, Violent Crimes
- Regulatory & Enforcement Representation
- White-Collar Criminal Defense
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Free Consultation
Free Initial Consultation - Credit Cards Accepted
- Contingent Fees
- New York
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- 2nd Circuit
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- U.S. District Court, Eastern District of New York
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- U.S. District Court, Southern District of New York
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- U.S. Supreme Court
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- English: Spoken, Written
- Managing Member
- Herskovits PLLC
- - Current
- Partner
- Gusrae, Kaplan, Bruno & Nusbaum PLLC
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- Benjamin N. Cardozo School of Law
- J.D. | Law
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- Syracuse University
- B.A.
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- Super Lawyers - Securities Litigation
- Thomson Reuters
- Super Lawyers - Securities Litigation
- Thomson Reuters
- Super Lawyer - Securities Litigation
- Thomson Reuters
- Super Lawyer - Securities Litigation
- Thomson Reuters
- Super Lawyer - Securities Litigation
- Thomson Reuters
- American Bar Association
- Member
- Current
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- New York County Lawyers' Association
- Member
- Current
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- New York City Bar Association
- - Current
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- New York County Lawyers' Association, Securities and Exchanges Committee
- Co-Chair
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- Guest Speaker, International Assets Advisory LLC annual conference, New Orleans, LA
- International Assets Advisory LLC
- Guest speaker on Reg BI and emerging issues facing financial advisers.
- Moderator, 2013 Securities and Regulatory Conference: Insights and Challenges for Financial Services Attorneys, New York, New York
- New York County Lawyers' Association
- Certified Arbitrator
- FINRA, AAA, and the NFA
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Firm Overview
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...
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 financial advisors targeted by FINRA, looks at the first phase...
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...
Restrictive Covenants in Employment Agreements
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...
Protocol for Broker Recruiting
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...
