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