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