Articles Posted in NYPPEX

FINRA RULES EX PARTE TEMPORARY RESTRAINING ORDER RESULTS IN STATUTORY DISQUALIFICATION
Herskovits, PLLC

FINRA’s Office of Hearing Officers recently rendered a decision on an issue of first impression in Dep’t of Enforcement v. NYPPEX, LLC, et al., (Disc. Proc. No. 2019064813801). Enforcement charged FINRA member firm, NYPPEX, LLC, its former CEO, Laurence Allen, and its CCO, Michael Schunk, with numerous violations of FINRA rules. The charges stemmed from…

Continue reading ›

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...

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

Contact Us

  1. 1 Free Initial Consultation
  2. 2 Decades of Experience
  3. 3 Exceptional Track Record
Fill out the contact form or call us at (212) 897-5410 to schedule your free initial consultation.

Leave Us a Message