Securities industry litigation and regulatory defense
Practice areas
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.
24 years, 250 cases
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
24 years, 250 cases
Robert Herskovits has handled hundreds of arbitrations before FINRA and the AAA. Robert is an arbitrator for FINRA, AAA and NFA.
24 years, 250 cases
Languages spoken
English
Herskovits PLLC
1185 Avenue of the Americas,
37th Floor
New York, NY, 10036
State | Status | Acquired | Updated |
---|---|---|---|
NY | Currently registered | 1997 | 12/09/2020 |
Legal answers | 0 |
Legal guides | 5 |
Award name | Grantor | Date granted |
---|---|---|
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 |
Title | Company name | Duration |
---|---|---|
Managing Member | Herskovits PLLC | 2012 - Present |
Partner | Gusrae, Kaplan, Bruno & Nusbaum PLLC | 2006 - 2011 |
Association name | Position name | Duration |
---|---|---|
New York County Lawyers' Association, Securities and Exchanges Committee | Co-chair | 2011 - Present |
New York City Bar Association | N/A | 2011 - Present |
Publication name | Title | Date |
---|---|---|
herskovitslaw.com | What FAs Need to know About Form U4 and Form U5 Expungement | 2019 |
herskovitslaw.com | Elder Abuse in the Securities Industry | 2017 |
herskovitslaw.com | Navigation Raiding Cases in the Securities Industry | 2017 |
herskovitslaw.com | FINRA Investigations Rule 8210 and Beyond | 2017 |
herskovitslaw.com | FINRA Disciplinary Proceedings- FINRA's Complaint and Hearing Process | 2017 |
Practicing Law Institute (PLI) | The Eligibility Rule: What Triggers the Clock? | 2006 |
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School name | Degree | Graduated |
---|---|---|
Yeshiva University, Benjamin N. Cardozo School of Law | JD - Juris Doctor | 1996 |
Syracuse University | BA - Bachelor of Arts | 1993 |
Conference name | Title | Date |
---|---|---|
International Assets Advisory LLC annual conference | Regulation Best Interest | 2019 |
Securities Enforcement Trends | Litigation Updates | 2013 |
Case name | Outcome |
---|---|
CFTC v. New York Mercantile Exchange (Civil Action 13-CV-1174 SDNY) | Ongoing |
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Mon Dec 07 2020
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Sun Apr 28 2019
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Thu Apr 25 2019
Posted by Derrick
Tue Feb 05 2013
Adam Gana, Securities and investment fraud Attorney on Apr 25, 2019
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.
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