Jenice L. Malecki

About Malecki Law

Meet Jenice L. Malecki

What is a FINRA 8210 Request?

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

Duty to Supervise Advisors

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

What Investors Can Do

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

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

Due Diligence Required in Complex & Alternative Investments

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

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

What is your experience in state investigations?

How is AAA different from FINRA arbitrations?

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

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

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

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

Whom do you represent in whistleblower cases?

Liability for Defective Securities

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

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

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

What are options and how do they work?

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

What is a Ponzi scheme and how does it operate?

What is investor mediation?

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

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

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

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

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

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

Who Can be Held Liable in FINRA Conduct Cases?

Damages Related to Private Placements and Illiquid Securities

What disclosures are required under Reg BI?

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

Reg BI or Suitability Violations

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

What are defective securities and proprietary investment cases?

What types of options cases are commonly litigated?

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

How do these cases differ from traditional securities fraud cases?

What are unauthorized trading, churning, and overconcentration cases?

What are typical claims in a FINRA arbitration?

Legal Standards for Brokers

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

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

What should I do if I receive an SEC subpoena?

Aiding and Abetting Fraud

What are the potential risks associated with trading options?

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

Who is subject to FINRA or AAA arbitrations?

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

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

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

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

What are the FINRA Conduct Rules?

What are annuities, private placements, and illiquid securities?

How long do FINRA and SEC investigations typically last?

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

What is your experience as a securities litigator?

How do Blue Sky Laws vary from state to state?

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

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

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

What can I do to correct inaccurate Form U5 information?

Damages for Unauthorized Trading, Churning, etc.

What are complex and alternative investments?

Authorization for Trades