Commercial Litigation
New York
What are the potential risks associated with trading options?
What is the process for responding to a FINRA or SEC investigation?
What is the difference between forgery, conversion, and theft?
What is your experience as a securities litigator?
Authorization for Trades
How do Blue Sky Laws vary from state to state?
What evidence is necessary to prove misconduct related to self-directed IRAs?
What are the warning signs of affinity fraud and Ponzi schemes?
What Investors Can Do
What should I do if I receive an SEC subpoena?
What are defective securities and proprietary investment cases?
What is the difference between a breach of fiduciary duty and a breach of contract?
What are the legal consequences for individuals and companies involved in affinity fraud or a Ponzi scheme?
What is a self-directed IRA and how does it differ from a traditional IRA?
What role do you play in internal investigations in the securities industry?
Legal Standards for Brokers
What is affinity fraud and how does it differ from other types of investment fraud?
What types of misstatements or omissions are typically involved in fraud cases?
Aiding and Abetting Fraud
How do these cases differ from traditional securities fraud cases?
Duty to Supervise Advisors
What are the potential consequences of entering into an SEC settlement?
Who Can be Held Liable in FINRA Conduct Cases?
How long do FINRA and SEC investigations typically last?
What are some common sales practice violations that are covered by the FINRA Conduct Rules?
What is a Wells Notice, and what is the significance of receiving one?
What are typical claims in a FINRA arbitration?
Whom do you represent in whistleblower cases?
What is a Ponzi scheme and how does it operate?
What are the FINRA Conduct Rules?
What evidence is necessary to prove a misstatement or omission in a fraud case?
What types of evidence are typically used in forgery, conversion, or theft cases?
What are the potential consequences of failing to cooperate with a FINRA or SEC investigation?
What are unauthorized trading, churning, and overconcentration cases?
Damages for Unauthorized Trading, Churning, etc.
Liability for Defective Securities
Reg BI or Suitability Violations
What disclosures are required under Reg BI?
What are options and how do they work?
What are complex and alternative investments?
Meet Jenice L. Malecki
What are the risks associated with investing in complex and alternative investments?
What are Blue Sky Laws, and what is their purpose?
What advice do you have for employees in the securities industry who have been terminated or are leaving a brokerage firm?
What is a FINRA Acceptance, Waiver, and Consent (AWC) and what is the significance of entering into one?
What can I do to correct inaccurate Form U5 information?
What types of misconduct can occur with self-directed IRAs?
What types of options cases are commonly litigated?
What is the process for filing a lawsuit related to forgery, conversion, or theft?
What types of assets or property can be subject to forgery, conversion, or theft cases?
What evidence is necessary to prove a failure to supervise claim?
What are annuities, private placements, and illiquid securities?
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?
Damages Related to Private Placements and Illiquid Securities
What triggers a FINRA or SEC investigation, and how are investigations typically initiated?
What is investor mediation?
How is the damages calculation different for breach of fiduciary duty compared to breach of contract?
What evidence is necessary to prove that a security or investment is defective?
About Malecki Law
What types of damages are typically sought in a failure to supervise case?
Meet Adam Schreck
What types of evidence are typically collected during a FINRA or SEC investigation?
What remedies are available to investors who have been harmed by a sales practice violation?
What are the obligations of a custodian or administrator of a self-directed IRA?
Who is subject to FINRA or AAA arbitrations?
What is a FINRA 8210 Request?
Is it possible to recover punitive damages for breach of fiduciary duty or breach of contract?
Meet Jacqueline N. Candella
Due Diligence Required in Complex & Alternative Investments
How is AAA different from FINRA arbitrations?
What is the difference between Suitability and Regulation Best Interest (Reg BI)?
