Industry Participants
Given the markets we have seen in recent times and tremendous destruction of investor confidence, as an industry participant, it is important to communicate properly with customers, supervisors, employees and regulators. New laws, regulations and interpretations help whistleblowers and cooperators come forth, allowing them reassurances against losing their job for refusing to violate industry laws and incentives to advise and cooperate in regulatory and self-regulatory investigations. Because markets and workplaces are becoming increasingly complex, continuing education is required every day. Do not make mistakes that can be avoided. A knowledgeable securities attorney can help you handle a variety of situations properly from the beginning. The New York securities law attorneys of Malecki Law are skilled and committed to delivering effective and efficient services and strategies of the highest quality to its clients - not isolated from every day life, but understanding the multifaceted needs and requirements of the client.
Malecki Law believes in honest reporting, encourages cooperation with regulators and has a history of excellent rapport with regulatory and self-regulatory bodies. In this firm's view, a zealous representation often includes an on-the-record interview and a favorably negotiated settlement in cooperation with the regulatory body at issue, similar to a whistleblowing case. Malecki Law has a desire to assist industry professionals come to terms with issues that have developed and find appropriate solutions that help them in partnering with regulators and fostering a better market - a long term view. As stated in NYSE Informational Memorandum 05-65 on this subject: "candor with the exchange" and "partnering . . . . . can have a dramatic impact on regulatory consequences." Most regulators agree with this philosophy and it helps not only industry professionals, but the regulators, investors and investment community.
Representation in these areas is available:
- Employment Issues & Disputes
- Litigation, Arbitration & Regulatory Matters
- Daily Operations & Compliance
- Membership Proceedings & Audits
Employment Issues & Disputes
The lawyers of this law office will counsel clients in various securities industry employment issues to avoid litigation or to institute actions on behalf of former employees, including, but not limited to, representation in:
- Sarbanes-Oxley Whistleblower cases
- Cooperation in Criminal, Civil, Regulatory and Self-Regulatory Matters
- Wrongful Termination
- Constructive Discharge
- Discrimination and/or Harassment,(including gender, race or religion)
- Promissory Note Defense, (sign-on bonuses and others)
- Compensation, Bonus and Commission Claims
- Employment Contract Negotiation
- Severance Package Termination Agreements
- Reporting Requirements for Forms U-4, U-5, RE-3 & DRPs
- Defamation
- Drafting & Negotiation of Employment Agreements & Policies
Litigation, Arbitration & Regulatory Matters
Our attorneys will provide representation to a variety of industry participants in employment, securities intra-industry and regulatory matters, including, but not limited to:
- Structured Finance Professionals
- Institutional and Foreign Investors
- Banking and Brokerage Firms
- Hedge Funds
- Investment Professionals and Advisors
- Traders, Specialists and Floor Brokers
- Municipal Bond Firms
- Commodities Firms
Daily Operations & Compliance
Our lawyers will represent brokerage firms, traders, specialists and registered persons regarding:
- Day-to-Day Compliance
- Transactional Issues
- Operational Issues
- Supervisory Issues
- Employment Issues
- Legal & Regulatory Developments
- Supervisory Procedures and Compliance Manuals
- Representative Training
- Anti-Money Laundering Plans
- NASD Application, Amendment, and Continuation Issues
- NASD Web Applications
- SRO Examination
- Corporate Formation and Governance
- Reporting Requirements, including, but not limited to, Trade Reporting
- Rules, Forms U-4, U-5, RE-3 and Disclosure Reporting Pages (DRPs)
Membership Proceedings & Audits
Our securities law attorneys will assist clients throughout various administrative proceedings and regulatory filings, including:
- Self-Regulatory Organization Membership Applications
- Membership Renewals
- Membership & Registration Continuation Proceedings
- Restriction Agreement Amendments
- Regulatory Investigations, Exams & Audits
NASD Web Applications (Registration)
Malecki Law, through Modern Regulatory Services, LLC, acts as administrator for all NASD Web applications: Web-CRD Account, Regulation Form Filling Account, NASD Contact System - NCS, Web IR, and Web IARD, manages representative and firm registration (filling and amending forms ADV, ADVW, BD, BDW, U4, U5 with related schedules), reviews state broker/dealer and investment advisor (Blue Sky) registrations and notice filings, and files customer complaint reports.
SRO Examination Preparation
Malecki Law reviews relevant books and records, examines key business practices, suggests improvements to procedures and practices, informs senior management of audit requirements, implements accepted recommendations, and organizes physical books & records and related files.
Corporate Formation and Governance
Malecki Law forms corporations and limited liability companies, drafts governing documents, handles contractual matters, such as purchase and sale agreements, employment agreements, and commercial lease negotiations.
Malecki Law does not accept work where a non-institutional public investor is the opposing party.
Located in the financial district of New York City, Ms. Malecki serves clients nationwide, including, but not limited to, those in New York, Massachusetts, and Washington D.C. Contact Malecki Law today for your free consultation with a seasoned New York securities & commodities fraud attorney.