Business Details
21 Years
experience
Trusted Securities Law Advocates in New York
Herskovits PLLC is a premier securities litigation and regulatory defense law firm based in New York with a national practice. Our team comprises former Wall Street regulators and in-house counsel from top-tier financial institutions, bringing decades of firsthand industry experience to every case. We specialize in defending broker-dealers, financial advisors, and institutional clients against FINRA, SEC, and CFTC investigations while also representing clients in securities arbitration and employment disputes. Our attorneys have handled hundreds of FINRA arbitrations, including landmark cases that have shaped industry precedents.We combine deep regulatory knowledge with aggressive advocacy to protect clients' professional reputations and financial interests. With a focus on proactive defense strategies, we aim to resolve matters efficiently while maintaining our clients' rights throughout the process. Our practice extends to whistleblower claims, expungement actions, and complex securities litigation in federal and state courts. The firm's principal attorney, Robert L. Herskovits, serves as a FINRA arbitrator and has maintained an exceptional track record in high-stakes securities matters for over two decades.
Services
FINRA Arbitrations
SEC Investigations
CFTC Defense
Employment Disputes
Whistleblower Claims
Regulatory Defense
Securities Litigation
Expungement
Investor Claims Defense
Disciplinary Proceedings
Details
- Year established: 2005
Highlights and features
- We have former Wall Street regulators on staff with insider industry knowledge
- Our attorneys handle both sides of securities disputes for comprehensive perspective
- We maintain a proven track record of dismissing FINRA disciplinary charges
- Our team includes a FINRA arbitrator with 20+ years of arbitration experience
- We provide strategic defense for complex SEC and CFTC investigations
What people say
Expertly guided
Successful results
Highly recommend
Proven track record
Aggressive advocacy
Services
FINRA Arbitrations
Our FINRA arbitration practice represents both investors and securities professionals in dispute resolution. With principal attorney Robert L. Herskovits serving as a FINRA arbitrator, we bring unique insights to both sides of securities disputes. Our team has handled over 200 arbitrations, achieving favorable outcomes through strategic case development and deep understanding of industry standards.
SEC Investigations
We defend financial institutions and professionals during SEC examinations and enforcement actions. Our approach focuses on early intervention to prevent formal proceedings, while maintaining readiness for litigation. Our attorneys leverage decades of regulatory experience to navigate complex securities laws and minimize professional repercussions for clients facing enforcement actions.
CFTC Defense
Our CFTC defense practice handles high-stakes matters including enforcement actions and whistleblower claims. We represent lead defendants in landmark cases, employing strategic negotiation and litigation tactics. Our team's track record includes reducing penalties to fractions of initial demands while protecting clients' business interests throughout the regulatory process.
Employment Disputes
We resolve securities industry employment conflicts including bonus disputes, expungement actions, and restrictive covenant litigation. Our attorneys handle matters involving Form U4/U5 disclosures and transition agreements. With deep understanding of industry compensation practices, we protect financial professionals' careers and recover wrongfully withheld compensation through arbitration and litigation.
Whistleblower Claims
Our whistleblower practice secures seven-figure awards for clients reporting securities fraud. We strategically present tips to maximize SEC/CFTC interest while protecting client anonymity. With experience handling cross-border cases and complex financial instruments, we guide clients through the entire whistleblower process from submission to award negotiation, leveraging our regulatory expertise to achieve optimal outcomes.
People
Robert L. Herskovits
Managing Partner
Former SEC enforcement attorney with 20+ years of securities law experience, certified FINRA arbitrator, and lead counsel in hundreds of securities cases including landmark victories against regulatory agencies.
Joseph P. Allgor
Attorney
Experienced securities litigator with focus on FINRA arbitration and regulatory defense, representing financial professionals in disciplinary matters and employment disputes with demonstrated success in expungement actions.
Questions
What types of securities law cases do you handle?
We handle FINRA arbitrations, SEC and CFTC investigations, employment disputes, whistleblower claims, and regulatory defense matters for securities industry professionals and firms.
How do you defend against FINRA disciplinary actions?
We employ proactive defense strategies using our insider regulatory experience to challenge investigations, negotiate settlements, and litigate before FINRA hearing panels with proven success in dismissing charges.
Can you help expunge false customer complaints?
Yes, we have a strong track record of removing defamatory disclosures from CRD records through FINRA arbitration, protecting financial advisors' professional reputations and career opportunities.
Do you represent both investors and brokers?
Yes, we uniquely represent both sides in securities disputes, giving us comprehensive perspective that benefits all our clients through better strategic decision-making.
How do whistleblower claims work?
We guide clients through confidential submission of tips to regulatory agencies, leveraging our regulatory expertise to maximize award potential while protecting client anonymity throughout the process.
What makes your firm different?
Our team includes former regulators and FINRA arbitrators with decades of industry experience, providing unique insights into both sides of securities disputes and regulatory matters.
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