Client Reviews

Rob Herskovits is an outstanding lawyer who got FINRA to drop an investigation. He was patient and extremely responsive and is clearly an expert on FINRA matters. I am forever grateful to him and his team for their guidance throughout the stressful process. (I would give him 10 stars if I could) I believe you should hire Rob Herskovits and his team with any kind of securities industry arbitration or regulatory investigation.

- Brenda

I was formerly employed by a large brokerage firm. After my employment ended, FINRA launched an investigation based on a Form U5 disclosure that I deemed to be false. I hired Rob Herskovits to handle the FINRA investigation and I'm so thankful I did. He took on FINRA and ultimately convinced them to end the investigation without taking any formal action against me. Herskovits PLLC are experts in the FINRA space.

- Harry

Rob Herskovits favorably wrapped up a FINRA investigation for me. He's super sharp and responsive, and did all the right things to get my case closed.

- Anonymous

I give Rob Herskovits the strongest possible recommendation. He is, without question, an expert with legal matters pertaining to FINRA and the financial services industry. I am grateful that he was able to resolve a licensing issue for me.

- Dmitriy

I give Rob Herskovits the strongest possible recommendation. He is an expert with legal matters pertaining to FINRA and the financial services industry. I am grateful that he was able to negotiate a favorable resolution for me with a FINRA disciplinary matter. It was clear to me that the FINRA lawyers respected Rob, and undoubtedly that helped bring about a favorable outcome. I feel fortunate to have had him by my side.

- Dan

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 unusual to beat FINRA on their home court, and I'm grateful to have had Rob by my side.

- 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

Before retirement, I was a top-producing financial advisor for one of the largest brokerage firms in the U.S. I’ve had occasion to deal with lots of lawyers over the years and Rob Herskovits is, without question, one of the best. He walked me though a FINRA investigation and 2 FINRA arbitrations and obtained stellar results for me every time. I believe you should hire Rob Herskovits and his team with any kind of securities industry arbitration or regulatory investigation.

- Steven R.

Herskovits PLLC took on a FINRA arbitration and replaced my former attorney late in the game. Rob Herskovits immediately got up to speed and won the case for me. Rob Herskovits is a great lawyer and I strongly recommend him for any FINRA matter.

- Rhyan

Rob Herskovits and his team expertly helped me navigate an SEC audit. I strongly recommend Herskovits PLLC for any securities industry litigation or regulatory needs.

- Jedel F.

I am thankful that Rob Herskovits was my lawyer. He ran circles around Wells Fargo at a FINRA arbitration and won the case for me, and even got me an award of attorneys’ fees, which I understand rarely happens. Rob is a true expert at FINRA’s rules and he knows the financial services industry backwards and forewords. Rob is a great lawyer and I recommend him without reservation.

- Amy W.

Herskovits PLLC quickly and efficiently resolved a thorny registration issue with FINRA. Other lawyers who claimed to be FINRA experts had no idea how to pursue my matter. The lawyers are Herskovits PLLC are true experts with regard to FINRA rules and regulations. I am extremely thankful for their services.

- Kenneth R.

I give Rob Herskovits the strongest possible recommendation. He is an expert with legal matters pertaining to FINRA and the financial services industry. I am grateful that he was able to negotiate a favorable resolution for me with a FINRA disciplinary matter. It was clear to me that the FINRA lawyers respected Rob, and undoubtedly that helped bring about a favorable outcome. I feel fortunate to have had him by my side.

- SkiBumCT

I give Rob Herskovits the strongest possible recommendation. He is, without question, an expert with legal matters pertaining to FINRA and the financial services industry. I am grateful that he was able to resolve a licensing issue for me.

- D S.

Very knowledgeable team when it comes to FINRA arbitrations and FINRA/SEC disciplinary cases. They can both negotiate favorable resolutions and take cases to a hearing (and win).

- Jay L.

Mr. Herskovits is incredibly professional and I would recommend him to anyone who is looking for counsel. I've recommended several friends to him as they push back and fight against injustice in the financial services space.

- Alex B.

Robert was fantastic counsel and engaging him was the best decision I made. Truly an expert with financial regulatory matters.

- Lorenzo C.