Jenice L. Malecki

Liability for Defective Securities

What are the risks associated with investing in complex and alternative investments?

What is a Wells Notice, and what is the significance of receiving one?

What advice do you have for employees in the securities industry who have been terminated or are leaving a brokerage firm?

How is the damages calculation different for breach of fiduciary duty compared to breach of contract?

Aiding and Abetting Fraud

How do Blue Sky Laws vary from state to state?

What are annuities, private placements, and illiquid securities?

What is the difference between forgery, conversion, and theft?

Damages Related to Private Placements and Illiquid Securities

What disclosures are required under Reg BI?

What are the FINRA Conduct Rules?

Reg BI or Suitability Violations

What evidence is necessary to prove a misstatement or omission in a fraud case?

What evidence is necessary to prove a failure to supervise claim?

What are the legal consequences for individuals and companies involved in affinity fraud or a Ponzi scheme?

What evidence is necessary to prove misconduct related to self-directed IRAs?

What are some common sales practice violations that are covered by the FINRA Conduct Rules?

What is your experience in state investigations?

What is investor mediation?

What types of assets or property can be subject to forgery, conversion, or theft cases?

What remedies are available to investors who have been harmed by a sales practice violation?

What are the potential consequences of entering into an SEC settlement?

What is your experience as a securities litigator?

What types of misstatements or omissions are typically involved in fraud cases?

Whom do you represent in whistleblower cases?

What can I do if I suspect an elderly loved one is being financially scammed by a brokerage firm or broker?

What is a FINRA 8210 Request?

What are unauthorized trading, churning, and overconcentration cases?

What is a self-directed IRA and how does it differ from a traditional IRA?

What should I do if I receive an SEC subpoena?

What types of damages are typically sought in a failure to supervise case?

What types of options cases are commonly litigated?

How long do FINRA and SEC investigations typically last?

What are the potential consequences of failing to cooperate with a FINRA or SEC investigation?

How do these cases differ from traditional securities fraud cases?

How is AAA different from FINRA arbitrations?

What types of evidence are typically collected during a FINRA or SEC investigation?

What are the warning signs of affinity fraud and Ponzi schemes?

Who Can be Held Liable in FINRA Conduct Cases?

What are the potential risks associated with trading options?

What evidence is necessary to prove that a security or investment is defective?

Duty to Supervise Advisors

What triggers a FINRA or SEC investigation, and how are investigations typically initiated?

What is a Ponzi scheme and how does it operate?

What types of evidence are typically used in forgery, conversion, or theft cases?

What is the difference between a breach of fiduciary duty and a breach of contract?

What can I do to correct inaccurate Form U5 information?

What is the process for filing a lawsuit related to forgery, conversion, or theft?

What are the obligations of a custodian or administrator of a self-directed IRA?

Due Diligence Required in Complex & Alternative Investments

What are typical claims in a FINRA arbitration?

What is a FINRA Acceptance, Waiver, and Consent (AWC) and what is the significance of entering into one?

What is affinity fraud and how does it differ from other types of investment fraud?

What are defective securities and proprietary investment cases?

Is it possible to recover punitive damages for breach of fiduciary duty or breach of contract?

What are options and how do they work?

What are complex and alternative investments?

What role do you play in internal investigations in the securities industry?

What is the difference between Suitability and Regulation Best Interest (Reg BI)?

Legal Standards for Brokers

What are Blue Sky Laws, and what is their purpose?

Damages for Unauthorized Trading, Churning, etc.

Authorization for Trades

What types of misconduct can occur with self-directed IRAs?

Who is subject to FINRA or AAA arbitrations?

What is the process for responding to a FINRA or SEC investigation?

What Investors Can Do

Meet Jenice L. Malecki

About Malecki Law