Justia Lawyer Rating
Super Lawyers
Avvo Rating Top Attorney
AV Preeminent

Articles Posted in Succession plans

FINRA PROVIDES GUIDANCE ON FINANCIAL ADVISOR SUCCESSION PLANS
Herskovits, PLLC

FINRA recently released Regulatory Notice 22-23 providing guidance on what firms should consider when constructing succession plans for Financial Advisors (“FAs”) who will no longer service their customers do to expected or unexpected life events. The Need for a Plan The Notice begins by listing the various cost/benefits of having or not having a succession…

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