Get 20% Off Your First Purchase — Use Code FIRST20 at Checkout
Defense of FINRA Investigations and Disciplinary Proceedings
Presented by Robert Herskovitz
Watch This Course for Free!
New LexVid members can watch their 1st course for free. No credit card needed, just create an account and you'll receive your certificate immediately after watching your free course.
Already a member? Sign in
Video Player is loading.
This is a modal window.
The media could not be loaded, either because the server or network failed or because the format is not supported.
Course Description
Length: 1h 4min Published: 9/26/2022 
The Financial Industry Regulatory Authority (FINRA) is an organization that represents broker-dealers. The rules and regulations promulgated by are thorough and often complex. In this program, NY securities litigator Robert Herskovitz will give attorneys an overview of FINRA and will provide viewers with an understanding on how to navigate a FINRA investigation and disciplinary proceeding.
Learning Objectives
* Get an overview of FINRA
* Learn what activities can trigger a FINRA investigation
* Understand the FINRA investigation process
Speaker Q&A
Question
are you entitled to representation by an attorney at an in=person hearing?
- KristinaM
Answer
Yes
- Robert Herskovitz
Presented By:
Robert Herskovitz
New York, NY
212-897-5410
robert@herskovitslaw.com
Featured Reviews
"Excellent overview with practical aspects highlighted"
Laureen B
"Great presentation. Highly recommended."
Stuart M
