IF YOU OR YOUR FIRM is under investigation, has been threatened or made a party to an arbitration, litigation or other legal proceeding, the most important thing you can do is to make certain your interests are properly protected. Normally when a broker and his or her employer are parties in the same matter, their primary interests will be aligned ---- TO DEFEAT THE CLAIM. Even with these aligned interests, during the course of the matter a conflict of interest might arise. It is therefore extremely important that brokers and their firms have different counsel. Ziegler, Ziegler & Associates LLP can help.
Ziegler, Ziegler & Associates LLP is a U.S.-based law firm with a diversified practice that includes domestic and international transactions, securities offerings (including public and private placement of debt and equity), establishment and representation of investment companies, broker-dealers and hedge funds, joint ventures, corporate finance, mergers and acquisitions, commercial, criminal and securities litigation, banking and white-collar and criminal defense work. The firm also represents brokers in connection with employment disputes with their current or former firms including breach of contract, commission and promissory note disputes, breaches of contract, defamation claims and raiding of accounts.
The firm's litigation practice concentrates on dispute resolution, cost containment and liability management for public and privately held companies and individuals. Our litigation department handles regulatory and adjudicatory matters before the Securities and Exchange Commission, the National Association of Securities Dealers, Inc. and various state agencies.
The firm defends securities litigation brought against its corporate clients, including suits against officers and directors as well as arbitrations brought against brokers and brokerage firms by investors seeking recoupment of their investments as a result of the broker and/or brokerage firm violating U.S. and non-U.S. rules.
At Ziegler, Ziegler & Associates LLP we defend broker dealers and brokers in litigation and regulatory matters affecting the securities industry including, without limitation, defending customer complaints alleging unauthorized trading, churning, failure to supervise, churning, unsuitability. We also assist with claims raised by employees against their former employers for improper termination, defamation, non-timely reporting, U-5 issues, retaliatory termination, sexual harassment, hostile work environment and discrimination.
We also defend broker dealers and brokers in SEC, NASD and NYSE investigations and proceedings involving claims of market manipulation, securities fraud, insider trading, underwriting practices and failure to supervise.
The firm handles complex white collar criminal matters in state and federal court for individual and corporate clients. We represent individuals and corporations in cases charging violations of federal and state securities laws as well as bank fraud. This process involves advising clients who may be the target of a grand jury or other investigation, and those whom must appear as witnesses in them, to guiding clients through the indictment, plea bargaining process and representing them at trial.
We also represent brokerage firms, individuals and 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), the National Association of Securities Dealers Inc. (NASDR), the New York Stock Exchange (NYSE). The subject of the investigations of broker-dealers by the NASD, SEC and/or NYSE may include claims of sales practices violations such as churning, unauthorized trading, stock manipulation and misrepresentations in written materials distributed by broker-dealers and/or brokers.
The firm has experience in dealing with the government and regulatory authorities in connection with criminal investigations. Our ranks include alumni of some of the top law firms in Manhattan as well as from the white-collar crime division of the Manhattan District Attorney's Office.
In approaching adjudications, our litigation department focuses on developing and implementing, a consistent strategy with a clear object and result, rather than mere process or procedure. Ordinarily, before undertaking a litigation project, as either plaintiff or defendant, we map out the projected activity and schedule for litigation, budget each of the necessary tasks, and work with our clients to develop a coherent strategic approach consistent with the client's economic needs, risk profile and selection of forums and remedies. We will work with clients to establish mutually satisfactory budgets consistent with this strategic approach, will agree to stay within agreed upon budgets, and will in appropriate cases agree to "capped" fees, including for litigation matters.
The firm has attorneys admitted in New York, New Jersey and Pennsylvania.
Call us for a free consultation.
