Employment claims brought by securities industry participants involve issues unique to the securities industry. Having represented broker-dealers and registered representatives, we have substantial experience with both sides of these disputes and have prosecuted or defended claims for Form U5 expungement, unpaid deferred compensation (including Restricted Stock Units), enforcement of employee forgivable loans (EFL), broker-dealer raiding, unpaid bonuses or commissions, and wrongful termination.
Over the past five years, Robert Herskovits has successfully prosecuted a significant number of EFL cases brought on behalf of Jefferies & Company, Inc. and smaller broker-dealers. As a small law firm, we remain free from many of the conflicts associated with larger firms, and have defended a multitude of EFL cases brought by various broker-dealers. When defending an EFL case, we structure a defense designed to achieve a resolution with a significant discount to the Note's unpaid balance.
Herskovits Law has expertise in both prosecuting and defending claims for securities industry participants involved in issues in the securities industry. Having represented numerous employees, their reputation for effective advocacy by advancing their clients' interests from the outset of each case has been acknowledged in the New York Securities Industry. See www.herskovitslaw.com.
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