Sarbanes-Oxley and Regulatory Compliance

Led by the well-known efforts of Partner George E. Boychuk, the attorneys of Ziegler, Ziegler & Associates LLP are respected by their peers for their ongoing training and depth of knowledge related to regulatory compliance. A significant aspect of our work - bridging our work in corporate and entrepreneurial finance and our central practice in securities law - involves seminars and consultations for foreign and domestic companies on the subject of Sarbanes-Oxley compliance requirements. We also provide comprehensive counsel on Securities Exchange Act reporting and work closely with SEC reporting clients and brokerage firms to assist in compliance with SEC, FINRA (formerly NASD) and NYSE requirements. We assist corporate clients, including public companies and brokerage dealerships, in identifying potential compliance weaknesses and liability exposure in order to develop long-range plans to implement and ensure ongoing compliance with all existing and emerging regulations.

Through our securities arbitration and litigation practice, we use our substantial knowledge of securities in offering sophisticated defense of firms facing regulatory or criminal charges involving securities and related matters. 

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