Herskovits

At Herskovits PLLC, we are dedicated to providing top-notch legal services to the financial services industry. Our team of experienced attorneys has extensive knowledge in the areas of securities litigation, regulatory defense, and employment litigation. With decades of experience in the securities industry, we are well-versed in the intricacies of Wall Street's regulatory bodies, including the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC).

Our attorneys have worked as former Wall Street regulators and in-house counsel for prominent banking firms, providing us with a unique understanding of the legal issues that face broker-dealers, registered investment advisors, and individuals in the securities industry. Additionally, we have a strong track record of representing public and institutional investors in their legal matters.

Our practice areas reflect our focus on the financial services industry, covering regulatory defense, employment litigation, and securities arbitration. We understand the importance of tenacious representation in investigations, disciplinary proceedings, and litigation initiated by Wall Street's regulators. Our team is skilled in navigating the complex process of regulatory defense, from responding to initial requests to representing clients in disciplinary proceedings.

In the area of employment litigation, we represent securities industry employees in disputes concerning bonus or incentive compensation, expungement of customer claims, and termination disclosures. Our team is experienced in representing investment bankers, traders, senior executives, and research analysts in these matters, ensuring that our clients receive fair compensation for their services.

At Herskovits PLLC, we are committed to providing exceptional legal services to our clients. Our attorneys are dedicated to staying up-to-date with the latest developments in the financial services industry, ensuring that our clients receive the most effective and innovative legal solutions. Whether you are facing a regulatory investigation, an employment dispute, or a securities arbitration, our team is here to help you navigate the complex legal landscape of the financial services industry.