Securities Employment Disputes: Protocol for Broker Recruiting

Rob Herskovits, the go-to securities lawyer for employment disputes, looks at FAs changing jobs and the effect of employment…

Securities Professionals Employment Disputes – Forgivable Loans

Veteran securities lawyer Rob Herskovits looks at Forgivable Loans in high stakes securities industry employment disputes. His New York…

Securities Industry Employment Agreements – Restrictive Covenants

Restrictive covenants in your employment agreement with a financial institution can have profound career implications. However, they…

FINRA Investigations: U4 & U5 Disputes & Defenses

FINRA investigations relating to U4 disclosures and U5 terminations are explained by Rob Herskovits, a NY based securities lawyer with a…

FINRA Investigations 101: Investigation Process & Defense

FINRA investigation lawyer Rob Herskovits, a New York based securities lawyer with a practice focus on defending broker dealers and advisors…