Search for: "Herskovits, PLLC"
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3 Apr 2022, 12:52 pm
Herskovits PLLC is investigating whether Morgan Stanley unlawfully “forfeited” deferred compensation [read post]
24 Nov 2020, 11:42 am
On November 19, 2020, FINRA published a noteworthy arbitration award for a Herskovits PLLC client in [read post]
19 Jun 2012, 12:10 pm
Herskovits PLLC comments on the following regulatory actions: Net Cap Violations Freedom Investors [read post]
14 Jun 2019, 11:45 am
investigations, here are some important details to keep in mind, as well as how New York securities attorneys at Herskovits [read post]
4 Feb 2013, 10:11 am
Herskovits [read post]
4 Feb 2013, 5:11 am
On January 30, 2013, we sent FINRA a comment letter concerning the controversial proposed rule which would require disclosure of all “enhanced compensation” – forgivable loans, up-front bonuses, back-end bonuses, and the like – to customers. For those opposed to the proposed rule, the comment period is open until March 5, 2013. The text of our comment letter is set forth below: Marcia E. Asquith Office of Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 … [read post]
23 May 2025, 4:27 pm
Herskovits PLLC has a nationwide practice representing individuals and entities faced with FINRA investigations [read post]
13 Dec 2019, 1:58 pm
Herskovits PLLC has a nationwide practice representing individuals in the securities industry [read post]
17 Nov 2025, 7:21 am
Herskovits PLLC represents broker-dealer and registered persons in defense of FINRA investigations and [read post]
7 Oct 2022, 8:31 am
Herskovits PLLC represents financial advisors nationwide. [read post]
