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Robert Lowell Herskovits

Lawsuits and disputes Attorney at New York, NY

5.0   14 reviews

also known as Robert Herskovits, Rob Herskovits

Free consultation
Free consultation
(501) 499-8714
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  • Licensed for 26 years
    State NY
    Acquired 1997
    Status
    Currently Registered No misconduct found

We have not found any instances of professional misconduct for this lawyer.

Great experience
Rafael
This review is from a person who hired this attorney.
Hired Attorney
Financial Advisor
Brenda
This review is from a person who hired this attorney.
Hired Attorney
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About Robert

Learn Robert’s areas of practice.

3
Practice areas
  1. Lawsuits and disputes
    50%
    Extensive practice representing individuals and entities in government investigations or lawsuits initiated by the SEC or CFTC and securities industry investigations or disciplinary proceedings initiated by FINRA or state securities regulators.

    26 years, 250 cases

  2. Securities and investment fraud
    40%
    Litigation and regulatory enforcement attorney, with an emphasis on securities/commodities litigation and appeals, employment litigation relating to the securities industry, defense against investigations and actions initiated by the SEC, CFTC, FINRA and state regulators, and commercial and business litigation

    26 years, 250 cases

  3. Arbitration
    10%
    Robert Herskovits has handled hundreds of arbitrations before FINRA and the AAA. Robert is an arbitrator for FINRA, AAA and NFA.

    26 years, 250 cases

SECURITIES INDUSTRY LITIGATION AND REGULATORY DEFENSE

Photos and videos

Rob Herskovits looks at Forgivable Loans in high stakes securities industry employment disputes. His New York based securities law firm handles both the defense and prosecution of employee forgivable loan cases.
A New York-based securities lawyer with a practice focus on defending broker dealers and financial advisors targeted by FINRA, looks at the first phase of the investigation process: the 8210 request for information and documents.
FINRA investigations relating to U4 disclosures and U5 terminations. Rob Herskovits focuses here on defenses in U4 and U5 based FINRA inquiries.
Restrictive covenants in your employment agreement with a financial institution can have profound career implications. However, they are never as simple as the language on the page and must be taken both seriously and in context.
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Photos and videos

Rob Herskovits looks at Forgivable Loans in high stakes securities industry employment disputes. His New York based securities law firm handles both the defense and prosecution of employee forgivable loan cases.
A New York-based securities lawyer with a practice focus on defending broker dealers and financial advisors targeted by FINRA, looks at the first phase of the investigation process: the 8210 request for information and documents.
FINRA investigations relating to U4 disclosures and U5 terminations. Rob Herskovits focuses here on defenses in U4 and U5 based FINRA inquiries.
Restrictive covenants in your employment agreement with a financial institution can have profound career implications. However, they are never as simple as the language on the page and must be taken both seriously and in context.
FAs changing jobs and the effect of employment agreements they signed with a broker-dealer. Rob addresses non-competes, non-solicitation rules and realities, and other issues including the Protocol for Broker Recruiting.

Contact Robert

Herskovits PLLC
305 Broadway
7th Floor
New York, NY, 10007
herskovitslaw.com
Message Get Directions

Reviews

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5.0 / 5.0
  14 customer reviews
5 Star
 
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Posted by Rafael | July 22, 2023
This review is from a person who hired this attorney.
| Hired Attorney
Great experience
Rob Herskovits and his team did an amazing job on an NFA arbitration for me. Rob is an outstanding financial services attorney and I recommend Herskovits PLLC for any sort of litigation or arbitration related to that industry.
Posted by Brenda | July 25, 2022
This review is from a person who hired this attorney.
| Hired Attorney
Financial Advisor
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.
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Posted by Rhyan | June 1, 2022
This review is from a person who hired this attorney.
| Hired Attorney
Amazing Experience
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.
Posted by Harry | March 31, 2022
This review is from a person who hired this attorney.
| Hired Attorney
Finra matter
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.
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Posted by Steven | February 3, 2022
This review is from a person who hired this attorney.
| Hired Attorney
Review of services
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.
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Posted by anonymous | August 7, 2021
This review is from a person who hired this attorney.
| Hired Attorney
Favorable result, super responsive
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.
Posted by Kenneth | June 26, 2021
This review is from a person who hired this attorney.
| Hired Attorney
Professional, knowledgeable & determined
Herskovits PLLC quickly and efficiently resolved a thorny registration issue with FINRA. The lawyers are Herskovits PLLC are true experts with regard to FINRA rules and regulations. I am extremely thankful for their services.
Posted by Amy | December 7, 2020
This review is from a person who hired this attorney.
| Hired Attorney
Saving grace
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.
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Posted by Lorenzo | October 1, 2020
This review is from a person who hired this attorney.
| Hired Attorney
Director
Robert was fantastic counsel and engaging him was the best decision I made. Truly an expert with financial regulatory matters.
Posted by Dmitriy | May 27, 2020
This review is from a person who hired this attorney.
| Hired Attorney
Licensing
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.
Posted by Dan | February 11, 2020
This review is from a person who hired this attorney.
| Hired Attorney
Excellent Attorney
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.
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Posted by Jay | April 28, 2019
This review is from a person who hired this attorney.
| Hired Attorney
Seasoned Securities Lawyer
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.
Posted by Jeremy | April 25, 2019
This review is from a person who hired this attorney.
| Hired Attorney
Sr vp cpwa
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!!
Posted by Derrick | February 5, 2013
Highly Recommended
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.
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Cost

Rates
  • Free Consultation 30 minutes
  • Hourly Rates $ 175-775 per hour
Payment methods
Cash, Check, Credit Card

Resume

AVVO RATING 9.7 (Superb)

Work Experience

  • Managing Member
  • Herskovits PLLC
  • 2012 - Present
  • Partner
  • Gusrae, Kaplan, Bruno & Nusbaum PLLC
  • 2006 - 2011

Education

  • Yeshiva University, Benjamin N. Cardozo School of Law
  • JD - Juris Doctor
  • 1996
  • Syracuse University
  • BA - Bachelor of Arts
  • 1993

Legal Cases

  • CFTC v. New York Mercantile Exchange (Civil Action 13-CV-1174 SDNY)
  • Complete

Associations

  • New York City Bar Association
  • 2011 - Present
  • New York County Lawyers' Association, Securities and Exchanges Committee
  • Co-chair
  • 2011 - 2014

Languages Spoken

  • English

Honors and Awards

  • Super Lawyers
  • Thomson Reuters
  • 2022
  • Super Lawyers
  • Thomson Reuters
  • 2021
  • Super Lawyers
  • Thomson Reuters
  • 2020
  • Super Lawyers
  • Thomson Reuters
  • 2019
  • Super Lawyers
  • Thomson Reuters
  • 2018
  • Super Lawyers
  • Thomson Reuters
  • 2017
  • Super Lawyers
  • Thomson Reuters
  • 2016
  • Super Lawyers
  • Thomson Reuters
  • 2015
  • Super Lawyers
  • Thomson Reuters
  • 2014
  • AV Rated
  • Martindale-Hubbell
  • 2012
  • Rising Star
  • Thomson Reuters
  • 2011
View all awards

Publications

  • Practicing Law Institute (PLI)
  • The Eligibility Rule: What Triggers the Clock?
  • 2006
View all publications

Speaking Engagements

  • International Assets Advisory LLC annual conference
  • Regulation Best Interest
  • 2019
  • Securities Enforcement Trends
  • Litigation Updates
  • 2013

Attorney endorsements

Received (1)
Given (1)
Endorse Robert
Adam J. Gana headshot
Adam Gana
Securities and investment fraud Attorney | Apr 25
Relationship: Fellow lawyer in community
"Robert is an excellent attorney. I have referred him a number of cases and have seen first hand that he represents his clients with a great deal of expertise."
Adam J. Gana headshot
Adam Gana
Securities and investment fraud

Avvo Contributions

0 Legal Answers 5 Legal Guides
New York Lawsuits and disputes Lawyer Robert Lowell Herskovits
Robert Lowell Herskovits
Lawsuits and disputes Attorney
New York, NY
Licensed for 26 years
Free Consultation
(501) 499-8714 Message Website