New York Hedge Fund and Broker-Dealer Defense Lawyers 

For a hedge fund, broker-dealer, trading firm or investment advisory firm facing an accusation of misconduct, retaining effective legal counsel must be the first priority. Regardless of how well you know your industry, securities law is complex and dangerous to navigate without the guidance of a qualified legal professional. The advice of experienced securities attorneys is crucial for limiting the damage of such an accusation. Failure to secure skillful and aggressive legal representation could result in serious loss and penalties, including the loss of professional licenses, substantial fines and even imprisonment.

At Ziegler, Ziegler & Associates LLP, our New York securities litigation lawyers possess the business acumen and litigation skills necessary to provide a vigorous defense for clients facing charges before state and federal criminal courts and various regulatory agencies, as well as civil claims by customers, investors, former employees and others. These types of charges must be handled by an attorney familiar with all aspects of business transactions, litigation and compliance. If you are a hedge fund, broker-dealer, trading firm or investment advisor facing misconduct allegations or involved in a dispute with a former employee or with a current or former client or investor, speak to an attorney at Ziegler, Ziegler & Associates LLP by contacting us online or calling 212-319-7600.

Protecting the legal rights of hedge funds, broker-dealers, investment advisors and trading firms 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
• Regulatory Compliance
• Lawsuits Seeking Investment Recovery
• Employment Disputes

Clear Objectives. Consistent Strategies. Successful Results.
At Ziegler, Ziegler & Associates LLP, we defend hedge funds, broker-dealers and other firms in arbitration and regulatory matters before FINRA (formerly NASD and the NYSE Division of Enforcement) and the Securities and Exchange Commission (SEC). Our skilled litigation attorneys provide a vigorous defense against accusations of misconduct by investors and current and former employees alike. With specialized knowledge of employment contracts and related agreements, regulatory compliance issues and business dispute resolution matters, the securities litigation attorneys at Ziegler, Ziegler & Associates LLP bring a comprehensive understanding of the legal issues faced by securities industry firms and personnel.

Hedge funds, broker-dealers and other securities firms facing regulatory action or otherwise in need of legal counsel are invited to contact a securities law expert at Ziegler, Ziegler & Associates LLP online or by calling 212-319-7600. Our lawyers are steadfast advocates on behalf of clients around the world seeking the experience necessary for the effective resolution of disputes in the global marketplace.