Profile
Elite Securities Law Firm for the Financial Services Industry
Founded at the end of 2011, Herskovits PLLC is a premier boutique law firm in New York City that is exclusively dedicated to the litigation and regulatory issues facing the financial services industry. 🗽 Our team is staffed with highly experienced attorneys, including former Wall Street regulators and in-house counsel for top-tier banking firms, giving us a powerful insider’s perspective. We are the go-to law firm for broker-dealers, registered investment advisors, and securities industry professionals who require tenacious and sophisticated representation in high-stakes matters. Our boutique structure allows us to provide focused, hands-on service and build personal relationships to truly understand our clients’ goals. 🤝
Specialized Expertise in Securities Law
Our singular focus on the financial services industry means we bring a deep and nuanced understanding to every case. We are not just lawyers; we are strategic partners who know your business and fight to protect it. 🧑⚖️
Our Core Practice Areas
We provide comprehensive legal support across a range of specialized fields:
- Financial and IP Lawyers: This is the cornerstone of our practice. We provide a tenacious defense in investigations and disciplinary proceedings by FINRA, the SEC, and the CFTC. We are a leading firm for FINRA arbitration claims and have a strong track record in securities litigation. We also maintain a robust practice for SEC and CFTC whistleblower claims. 🪙
- Wrongful Termination Lawyers: We are dedicated advocates for securities industry employees. Our expertise covers wrongful termination, bonus and incentive compensation disputes, and litigation arising from employee transitions and the Protocol for Broker Recruiting.
- Employment and Labor Lawyers: We have successfully represented many financial advisors in expungement arbitration claims to clear false or defamatory information from their Form U4 and Form U5, protecting their careers and reputations.
- Business Litigation Lawyers: Our firm handles complex commercial litigation for our financial industry clients, leveraging our deep experience to achieve favorable outcomes in business disputes.
An Award-Winning Team
Our attorneys are recognized leaders, with accolades including Super Lawyers and the highest AV Preeminent rating from Martindale-Hubbell. Our principal attorney, Rob Herskovits, is also a certified arbitrator for FINRA, giving our clients a unique strategic advantage. 🏆 When your career and reputation are on the line, you need a law firm with a stellar track record. Contact us today for a confidential, free consultation. ☎️
Specializing In
FINRA Arbitration, FINRA Investigations, SEC Regulatory Defense, CFTC Regulatory Defense, Securities Litigation, Securities Industry Employment Disputes, U4 and U5 Expungement, Whistleblower Claims
Address & Location
Located just east of the Civic Center and Tribeca neighborhood in Lower Manhattan, at the corner of Broadway and Duane Street.
Building Location
305 Broadway, also known as the historic Mutual Reserve Building, is an iconic 13-story Romanesque Revival style landmark completed in 1894, featuring a cage-like steel frame structure and detailed granite and limestone facades.
Suite Access
Enter the building through the main lobby on Broadway, proceed past the front desk, and take the elevator to the 7th Floor.
Parking Details
Paid underground public parking is available nearby at local commercial garages.
Public Transit
Served by New York City Transit Authority Route N, R, W (Uptown / Downtown); nearest stop is at City Hall.
Photos
Financial-IP-Lawyers
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