Securities Arbitration and Litigation

Ziegler, Ziegler & Associates LLP prides itself on an in-house combination of world-class transactional securities work and seasoned, aggressive litigation. Our representation of securities firms benefits from the best of both worlds: intimate, innovative involvement with securities law and a dedicated litigation team headed by former Manhattan District Attorney's Office Assistant D.A. Chris Brennan.

As a part of our work in commercial litigation and white collar defense, we offer a focused practice defending hedge funds, broker-dealers, trading firms, and investment advisory firms in criminal, regulatory, and other civil matters before state and federal courts and various regulatory agencies, including FINRA (formerly NASD and the NYSE Division of Enforcement) and the Securities and Exchange Commission (SEC). Our skilled litigators provide a vigorous defense against accusations of misconduct by agencies, customers, investors, former employees and others. Our practice includes sophisticated representation during arbitration rooted in our deep knowledge of securities law and our commitment to the ongoing success and good reputations of our individual and organizational clients.

Further, we defend the licenses of securities professionals against adverse marks as aggressively as we defend against the merits of the underlying claim. Our attorneys will defend your reputation with the same care and intensity as they would defend their own.

Preparation. Investigation. Dedication.

Ziegler, Ziegler & Associates is well-versed in the Foreign Corrupt Practices Act, the financial reform regulations established in the Sarbanes-Oxley and Dodd-Frank Acts, and other laws, rules and regulations. We protect the legal rights of hedge funds, broker-dealers, investment advisors, trading firms and others facing civil actions or criminal charges related to:

  • Unauthorized trading / insider trading
  • Securities fraud
  • Failure to supervise
  • Stock churning / stock fraud
  • Suitability of investments
  • Failure to execute stop-loss orders
  • Regulatory compliance
  • Lawsuits seeking investment recovery
  • False prospectus

We apply our comprehensive understanding of the relevant areas of law to quickly identify the options available to our clients faced with a dispute, evaluate the implications and probable outcomes of such options, and devise and execute the best possible strategies. We believe that our clients gain a distinct advantage over their competitors by employing attorneys who are regularly retained both to pursue litigation and to provide transactional advice on securities and business matters.