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