Securities Litigation & Arbitration / U-5
Preparation. Investigation. Dedication.
Protecting the legal rights of clients facing civil actions or criminal charges related to:
- Unauthorized Trading / Insider Trading
- Failure to Supervise
- Stock Churning / Stock Fraud
- Suitability of Investments
- Failure to Execute Stop-Loss Orders
- False Prospectus
- Regulatory Compliance
- Arbitration of Securities Disputes
- Lawsuits Seeking Investment Recovery
At Ziegler, Ziegler & Associates LLP, our New York Securities litigation lawyers possess the business acumen and tenacious litigation skills necessary to provide a vigorous defense for clients facing serious charges before state and Federal criminal courts as well as various regulatory agencies. An attorney familiar with all aspects of business transactions, litigation and compliance must handle these types of charges. Failure to secure experienced and aggressive legal representation could result in serious penalties, including the loss of professional licenses, substantial fines and even the loss of freedom.
Clear Objectives. Consistent Strategies. Successful Results.
AtZiegler, Ziegler & Associates, LLP, we regularly defend broker-dealers and brokers in arbitration and regulator matters before the NASD / NYSE / SEC
Securities arbitration will often have a significant impact on a broker-dealer or broker's license to deal in securities. A negative U-5 review (withdrawal of a license or application upon a broker/adviser's employment termination with an investment or brokerage firm)can follow a securities professional for his or her entire career, resulting in a loss of clients and an inability to obtain new employment. AtZiegler, Ziegler & Associates, LLP we defend the licenses of securities professionals against adverse marks as aggressively as we defend against the merits of the underlying arbitration claim. A professional's reputation is their bond to their clients. Our litigation attorneys will defend that reputation with the same care as they would defend their own.
What is a U5? Upon termination from a brokerage or investment firm, the employer will complete the U5 form (including reasons for termination) and enter the relevant information into a nationwide database accessible by potential clients and employers.
How can my U5 affect me? Negative or inaccurate information can seriously affect your ability to keep clients or obtain future employment.
Our employment litigation attorneys possess a significant securities law background and regularly represent brokers attempting to clear negative information from U5 reports. Our lawyers are also skilled negotiators and litigators who will seek monetary damages if U5 information was inaccurate or placed in bad faith.
Ziegler, Ziegler & Associates, LLP also litigates in the areas of employment law, white-collar criminal defense and commercial litigation. Visit our Practice Areas Overview for a comprehensive list of all our legal and business consulting services.
If a negative statement on a U5 disclosure report is preventing you from obtaining the securities employment you need, contact the Manhattan offices of ZIEGLER, ZIEGLER & ASSOCIATES LLP today via telephone or eMail.
