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Robert L. Herskovits

Robert L. Herskovits

Herskovits PLLC
  • Stockbroker & Investment Fraud, Securities Law, Arbitration & Mediation ...
  • New York
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Summary

Robert has decades of experience with disputes and investigations concerning the securities industry. Robert approaches each assignment with the benefit of having served as an in-house lawyer for a brokerage firm, and also having sat as a FINRA arbitrator for securities industry disputes. Robert’s practice is focused on securities litigation/arbitration and regulatory enforcement matters before FINRA and the SEC and CFTC. Robert advises broker/dealers, investment advisers, securities industry professionals and defrauded investors in varied litigation, arbitration and regulatory matters. Robert is certified as an arbitrator for FINRA, AAA and the NFA.

An active participant in the bar, Robert has served as the Co-Chair of the Committee for Securities and Exchanges of the New York County Lawyers' Association. Robert's accomplishments have been acknowledged by third-party reviewers. He has been recognized by Thomson Reuters as a "Super Lawyer" for securities litigation from 2014 through 2019 and received an AV rating (preeminent) by Martindale-Hubbell’s peer review ratings.

Robert received a JD from the Benjamin N. Cardozo School of Law and a BA from Syracuse University. Robert is admitted to practice in the State of New York and before various federal courts, including the U.S. District Court, Southern District of New York, U.S. District Court, Eastern District of New York, the U.S. Court of Appeals, 2nd Circuit, and the U.S. Supreme Court.

Education
Benjamin N. Cardozo School of Law
J.D. | Law
Benjamin N. Cardozo School of Law Logo
Syracuse University
B.A.
Syracuse University Logo
Professional Experience
Managing Member
Herskovits PLLC
Current
Partner
Gusrae, Kaplan, Bruno & Nusbaum PLLC
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Publications
Articles & Publications
What FAs Need to Know About Form U4 and Form U5 Expungement
Elder Abuse in the Securities Industry
Navigating Raiding Cases in the Securities Industry
FINRA Investigations- Rule 8210 & Beyond
FINRA Disciplinary Proceedings
The Eligibility Rule: What Triggers the Clock?
Practicing Law Institute (PLI)
Speaking Engagements
Guest Speaker , International Assets Advisory LLC annual conference , New Orleans, LA
International Assets Advisory LLC
Guest speaker on Reg BI and emerging issues facing financial advisers.
Moderator , 2013 Securities and Regulatory Conference: Insights and Challenges for Financial Services Attorneys , New York, New York
New York County Lawyers' Association
Certifications
Certified Arbitrator
FINRA, AAA, and the NFA
Awards
Super Lawyer - Securities Litigation
Super Lawyers
Super Lawyer - Securities Litigation
Super Lawyers
Super Lawyer - Securities Litigation
Super Lawyers
Super Lawyer - Securities Litigation
Super Lawyers
Super Lawyer - Securities Litigation
Super Lawyers
Super Lawyer - Securities Litigation
Super Lawyers
Rising Star - Business Litigation
Super Lawyers
AV Preeminent Rating - Securities Law, Litigation and Alternative Dispute Resolution
Martindale-Hubbell
Professional Associations
American Bar Association
Member
Current
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New York County Lawyers' Association
Member
Current
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Jurisdictions Admitted to Practice
New York
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2nd Circuit
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U.S. District Court, Eastern District of New York
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U.S. District Court, Southern District of New York
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U.S. Supreme Court
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Fees
  • Free Consultation
    Free Initial Consultation
  • Credit Cards Accepted
  • Contingent Fees
Practice Areas
  • Stockbroker & Investment Fraud
  • Securities Law
  • Arbitration & Mediation
  • Employment Law
  • Business Law
  • Criminal Law
  • Gov & Administrative Law
Additional Practice Areas
  • Regulatory & Enforcement Representation
  • White-Collar Criminal Defense
Languages
  • English: Spoken, Written
Websites & Blogs
Website
Robert L. Herskovits' Website Profile
Website
Herskovits PLLC Website
Blog
FINRA Lawyer Blog
Contact & Map
Herskovits PLLC
1185 6th Ave., 37th Floor
New York, NY 10036
Telephone: (212) 897-5410