Form U-5 Amendment & Expungement | Ziegler, Ziegler & Associates

Form U-5 Amendment and Expungement

Ziegler, Ziegler & Associates LLP is committed to protecting the good reputations of our clients. For securities industry professionals, this means ensuring a clean Form U-5 free of any damaging defamatory or inaccurate information.

Upon the termination of a securities professional's employment at a brokerage or investment firm for any reason, his or her employer completes a Form U-5, the Uniform Termination Notice for Securities Industry Registration. This information is then included in a central database by FINRA, where it may be accessed by potential employers and/or customers. A negative U-5 review can follow a securities professional for his or her entire career, resulting in a loss of clients and an inability to obtain new employment.

Proactive Approach

Ziegler, Ziegler & Associates fights to have any inaccurate, injurious information stricken from the U-5s of our clients. Negative U-5 remarks can be devastating to the career of a securities professional, and our attorneys are dedicated to making sure that our clients are free to pursue their careers in the securities industry unencumbered by the reputational blemish of any such inaccurate information.

Beyond expunging false information from our clients' U-5 records, in the unfortunate circumstance in which such remarks are found to have been made in bad faith by a former employer, our attorneys will take action and seek damages from the libeling party on behalf of our client.

COVID-19 ALERT

Ziegler, Ziegler & Associates LLP has a business continuity plan in place that enables us to continue to provide our clients with uninterrupted service. All Ziegler team members have the ability to work remotely to deliver the same high-level service that our clients have come to know and respect. Our lawyers are available by phone and email to meet your needs. Now more than ever, Ziegler, Ziegler & Associates LLP is here to serve as your trusted partner as you navigate this challenge. We encourage you to reach out to any member of our Ziegler team should you have any questions or concerns.

Coronavirus Effects On Employees

Along with significant health concerns, the coronavirus has created significant uncertainty related to issues surrounding employment.

Large numbers of employees are facing layoffs, reductions in workload, reductions in compensation and termination. All such employees deserve the best possible advice, information, and assistance in navigating the new employment environment that now exists following the unprecedented events of the past several weeks.

The labor and employment attorneys at Ziegler, Ziegler & Associates LLP are ready to provide you the advice you need to protect your rights as an employee and to help you take full advantage of funds and programs that will be made available by the federal government, New York State and New York City to assist employees damaged by the coronavirus.

We are all in this together and we look forward to helping you towards a brighter future. Please call us today for a free consultation.

Coronavirus and Family Law

Given the current environment, many New Yorkers have or will have immediate and important questions about their relationship, parenting and custody agreements and arrangements. Restrictions imposed on movement have created a sense of uncertainty and urgency for many families. We are here to answer your pressing questions about these and other family law and matrimonial issues you may have. Please feel free to contact us for a free consultation.

Firm update: Coronavirus

As you know, the situation over the spread of the coronavirus is rapidly changing, almost on a daily basis.

Our priority at this time is to help safeguard the health and safety of our colleagues, staff, clients, contacts and their respective families, whilst also ensuring that we can continue to provide you with the best possible client service.

Please be assured that we have the technology to enable us to continue our service to all of our clients uninterrupted whilst meeting our public health responsibilities. While our lawyers are available for face-to-face meetings where requested and needed, where these are not business-critical, we are advising staff to minimize these in agreement with our clients.

Our lawyers will still be available by phone and email, so we do not anticipate that this measure will impact ‘business as usual. We Are Here for You. First and foremost, we are thinking about you. We greatly appreciate all of the front-line workers striving to keep all of us safe and to contain COVID-19. The continuously evolving developments have created an environment of complexity and uncertainty that no doubt has impacted your business in some way.

Now more than ever, Ziegler, Ziegler & Associates LLP is here to serve as your trusted partner as you navigate this challenge. We encourage you to reach out to any member of our Ziegler team should you have any questions or concerns.

Form U-5 Amendment and Expungement

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