Corporate and Securities Defense

Ziegler, Ziegler & Associates LLP represents clients in criminal litigation in both state and federal courts. Our Manhattan-based criminal defense team - headed by former Manhattan District Attorney's Office Assistant D.A. Christopher Brennan - represents individuals including brokers and corporate officers as well as corporations and other entities in cases alleging violations of federal and state securities laws and bank fraud.

We serve clients based in the United States, United Kingdom or other jurisdictions worldwide who are in need of representation on criminal defense matters. Our work includes representing clients who are targets of grand jury investigations or must otherwise appear as witnesses.

Ziegler, Ziegler & Associates is well-known for our experienced advocacy in this area. With a strong knowledge of financial services, securities and corporate governance, we offer capable representation on a wide range of white collar offenses, including securities offenses, such as:

  • Securities fraud
  • Stock manipulation
  • Private placement fraud
  • Submission of a false prospectus
  • Written misrepresentation
  • Embezzlement
  • Tax evasion
  • Corporate misconduct
  • Insider trading
  • Racketeer Influenced and Corrupt Organizations (RICO) Act violations

We also represent brokerage firms, individuals and other institutions in investigations and enforcement proceedings brought by a wide range of administrative agencies and self-regulatory organizations, including:

  • The Securities and Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA) (Formerly NASD and NYSE Division of Enforcement)

Read more here about our representation of securities firms through our securities arbitration and litigation practice.

U-5 Amendment and Expungement

Securities professionals also rely on Ziegler, Ziegler and Associates to investigate and seek amendment or expungement of damaging, inaccurate information on a Form U-5, the Uniform Termination Notice for Securities Industry Registration. A negative U-5 review can follow a securities professional for his or her entire career, sometimes causing as much damage as a false criminal conviction. Learn more here about how we protect our clients' reputations through our practice in U-5 Amendment and Expungement.

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