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