Site Map
- Index
- The Firm
- Attorney Profiles
- Practice Areas
- Contact Us
- Disclaimer
- Privacy Policy
- eBooks
- Videos
- Securities Industry Employment Disputes: Protocol for Broker Recruiting
- Securities Professionals Employment Disputes – Forgivable Loans
- Securities Industry Employment Agreements – Restrictive Covenants
- FINRA Investigations: U4 & U5 Disputes & Defenses
- FINRA Investigations 101: Investigation Process & Defense
- News
- Government Employee Receives $2.5 Million Whistleblower Award from SEC
- Merrill Broker Sues Firm for Allegedly Stealing Accounts During Medical Leaves
- Attorney Blasts FINRA After Regulator Loses Insider Trading Case
- Ex-Citigroup Analyst Defeats FINRA Charges Over Tips
- Tilton Lays Path to Appeal SEC In-House Court Before Ruling
- Lynn Tilton Challenges SEC In-House Trial Rulings
- Defense Contractor Cybersecurity Breaches Bring Wave of Cyber Whistleblower Opportunities
- SEC Awards More than $1.4 Million to Whistleblower Compliance Officer
- SEC Grants $1.5M Whistleblower Award to Compliance Officer
- Expert: Compliance Officer SEC Whistleblower Reward Precedent for False Claims Act Awards
- Getting Fired and Quitting on Wall Street (Robert Herskovits, Esq.)
- States Served
- Alabama
- Alaska
- Arizona
- Arkansas
- California
- Colorado
- Delaware
- Florida
- Georgia
- Hawaii
- Idaho
- Indiana
- Iowa
- Kansas
- Kentucky
- Louisiana
- Maine
- Maryland
- Massachusetts
- Michigan
- Minnesota
- Mississippi
- Missouri
- Montana
- Nebraska
- Nevada
- New Hampshire
- New Jersey
- New Mexico
- North Carolina
- North Dakota
- Ohio
- Oklahoma
- Oregon
- Rhode Island
- South Carolina
- South Dakota
- Tennessee
- Texas
- Utah
- Vermont
- Virginia
- Washington
- West Virginia
- Wisconsin
- Wyoming
- Client Reviews