Securities Industry Litigation and Regulatory Counsel

Herskovits PLLC is a New York based securities law practice; experienced NY securities litigation and regulatory enforcement attorneys with decades of securities industry legal experience, 100s of FINRA and SEC regulatory matters favorably concluded, scores of successful trial verdicts, and trusted advisors for investment professionals, broker-dealers, and companies targeted for regulatory action.

For New York securities industry litigation, arbitration and regulatory defense, NYC's Herskovits PLLC has a unique combination of efficient size for minimal conflicts and practical billing, deep legal experience in state and Federal courts across the U.S., and an unsurpassed reputation for tenacious and successful representation.

For a confidential assessment of your position: 212.897.5410 or Submit

Facing A FINRA Investigation Or
Inquiry For Misconduct Or Illegal Activity?

If you're in the securities industry, you know FINRA investigations can lead to Federal complaints, administrative hearings, and/or examinations by other securities regulators including the SEC.

Broker-dealers, RIAs, investment advisors, and other industry professionals can be swept into broad inquiries, while those whose activities might touch some grey areas can be demonized and face outrageous penalties or other FINRA disciplinary actions.

A typical FINRA investigation is based on allegations which often include:

  • Anti-money laundering issues
  • Cyber security failures
  • Insider trading
  • Sale of complex products to retail investors
  • Breach of fiduciary duty
  • Unauthorized trading
  • Margin violations
  • Market manipulation
  • Churning
  • Outside business activities
  • Failure to amend Form U4
  • Compliance or supervisory deficiencies

We'll let you know what to expect and how to limit or avoid liability. The Herskovits PLLC team will protect and advocate your rights from day one with a thorough, proactive and appropriately aggressive defense.

Even if you are innocent of any wrongdoing, you should contact a law firm with deep FINRA investigation and enforcement defense experience protecting the rights of investment professionals, RIAs and broker-dealers.

Think you’re a FINRA target, get a rule 8210 letter? Call Our FINRA Defense team now to preserve your rights: 212.897.5410 or Submit

Anticipate A FINRA Investor Arbitration Claim
Or Already Notified?

Broker dealers, investment professionals and registered representatives know the signs of trouble coming - there are steps you should (and shouldn't) take to avoid a FINRA investor complaint or at least minimize your exposure. Or, if you are notified a FINRA customer complaint is filed which might include:

  • Misrepresentation
  • Unsuitability
  • Overconcentration
  • Selling Away
  • Execution Issues
  • Churning
  • Theft or Fraud

Herskovits PLLC securities lawyers have an exceptional track record from 100s of FINRA arbitrations, both negotiating early cost-effective resolutions as well as in delivering a full scale proactive and aggressive defense in FINRA arbitration proceedings.

We help local NYC, New York State and national clients protect their firms and careers. Learn more: 212.897.5410 or Submit

Securities Industry Employment Dispute?
Our Lawyers can help.

The securities industry is fertile ground for high stakes employment disputes. Things can go quickly awry when highly (and creatively) compensated at-will employees are either terminated or decide to transition to another employer. High conflict employment related disputes arise over:

  • Wrongful termination
  • Bonus disputes
  • Form U4 and Form U5 disclosures, defamation or expungement
  • Unpaid or disputed compensation
  • Non-compete agreements or other post-employment restrictions
  • Raiding

And other transition issues related to the fragile relationship between securities employers and employees, reporting and U4 disclosure requirements, and high conflict legal battles when careers, regulatory action, and big money are involved.

Our New York based national securities industry employment lawyers quickly help you get out in front of any employment related financial or regulatory dispute.

Call us: 212.897.5410 or Submit

Targeted by the SEC, U.S. Attorney, or
Other Securities Regulators?

We help people and companies facing Securities and Exchange Commission inquiry, state securities regulatory action, or other investigations, hearings or charges, minimize or eliminate negative financial or career consequences.

Whether you are at the early stages of an SEC, CFTC, FINRA or other inquiry or already mired in the regulatory enforcement process maze, we take immediate action to proactively address inquiries and subpoenas to learn the government's strategy and intent. No matter where you are in the process there is always an opportunity to assert your rights and turn the tables on often-careless SEC or other regulatory enforcement teams.

Typical SEC actions involve:

  • Insider trading
  • Sale of unregistered securities
  • Fraud or misrepresentation
  • Market manipulation
  • Acting as unregistered broker or dealer

Typical CFTC actions involve:

  • Price manipulations
  • Spoofing
  • Acting as an unregistered commodity trading advisor or futures commission merchant
  • Fraud or omissions

Our decades of legal experience and credibility in the New York securities arena pays off whether negotiating with the SEC, CFTC or state regulators for a favorable settlement, litigating hearing or court actions, or handling complex and risk-laden compliance matters.

Act Quickly to Protect Your Rights.

Call Experienced Herskovits Law
Securities Lawyers Now

For broker-dealers, investment advisors or financial industry professionals - we know your business. We are well known and respected by the SEC, CFTC, FINRA and other regulatory entity leaders and have strong track records in many federal and state courts.

Typically by the time you hear about serious legal action the other side is already actively preparing a case against you - let experienced Herskovits PLLC securities law professionals investigate their case and turn the tables in your favor.

If serious securities industry legal action is coming your way and your career and/or finances are at stake, you should act quickly to protect your rights. Securities law matters move fast and your early steps may well determine your outcome.

Connect with Rob Herskovits and the Herskovits securities industry and regulatory team at 212.897.5410 or Connect Online for a No Cost Consultation.