Robert Herskovits, J.D.

Attorney in New York, NY

Herskovits PLLC

1185 Ave. of the Americas

37th Floor

New York, NY 10036

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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

Licenses/Certifications

Juris Doctor (J.D.)

Bio

Since he began practicing law in 1996, Robert Herskovits has represented securities industry participants in a variety of litigation, arbitration, and enforcement actions, first as associate general counsel to an NYSE broker-dealer firm, and later as an attorney and partner at various law firms.

Rob is a certified arbitrator for FINRA, AAA, and the NFA, and has participated in an estimated 200 arbitration proceedings before FINRA.

At the end of 2011, Robert formed Herskovits PLLC to provide legal representation to broker-dealers, investment advisors, securities industry professionals, and investors in securities litigation, securities arbitration and securities industry regulatory defense for matters appearing before FINRA and other self-regulatory bodies, as well as before the SEC, state securities authorities, and state and federal courts. In addition to dealing with regulatory matters, Robert provides representation in employment, contract, and general commercial litigation for these same financial services clients.

The impetus for founding his own firm was Robert’s recognition that securities and financial services industry clients were not always being well-served by some of the larger law firms, particularly with regard to billing inefficiencies. He recognized that, sometimes, their large size and broad practice structure actually hindered them from constructing the hands-on, personal relationships necessary to truly understand their client’s priorities and goals in representative matters.

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United States

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Practice Areas

Legal Services

COVID-19-Related Legal Help

Employment Law

Investments (Securities, IPOs)

Online / Video Legal Consultation

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