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