Practice Areas

Securities Law

“Securities law” is the area of law that addresses issues related to the issuance, sale, and transfer

of stocks, bonds, shares of mutual funds, options, futures, partnership units, and other investment devices that can be bought and sold. The goal of securities law is to protect investors from fraudulent practices and to ensure that investors are provided with the information they will need in order to make knowledgeable decisions about their investments.

In the U.S., securities law includes federal laws, state laws, and regulations implemented by both state and federal regulatory agencies. The federal regulatory agency entrusted to develop nation-wide regulations and enforce federal laws is the Securities and Exchange Commission; in addition, each state has its own version of the SEC, and the securities industry has developed its own self-regulatory body—the Financial Industry Regulatory Authority.

Individuals and companies that have been harmed by unlawful securities transactions can take action to pursue their rights under federal and state securities laws. They may also seek compensation under various common law theories, such as negligence, fraud, misrepresentation, or breach of contract.

Based in New York, the securities law attorneys at Malecki Law have significant experience in representing both individual investors and industry participants, on both the plaintiff and defendant side. In civil law as well as administrative contexts, Malecki Law attorneys have handled a wide variety of security law matters, including

  • securities fraud litigation
  • arbitrations and mediation
  • appeals
  • audits and investigations
  • complaints to governmental, regulatory, and self-regulatory bodies.

New York securities law attorney Jenice Malecki has successfully represented investors in cases involving claims such as

  • unsuitability (when a broker recommends investments that are not suitable for the particular investor, given that investor’s age, income, and objectives)
  • churning / overtrading (when a broker trades an account too frequently, usually for his or her own profit)
  • conversion / theft (when a broker wrongfully takes an investor’s money or transfers funds to an account outside the investor’s control)
  • misrepresentation and omissions (when a broker lies to an investor or fails to disclose key facts, rendering the balance of the information provided untrue)
  • unauthorized trading (when a broker trades an account without asking the owner’s permission)
  • market manipulation (when brokers, traders, and/or analysts create a fictitious market environment to suit only their own profit objectives)
  • insider trading (when a broker alleges to have or uses information that is not publicly available)
  • failure to supervise (when a brokerage firm's senior personnel fail to review their brokers' work)
  • breach of contract (when a brokerage firm fails to live up to agreements with the investor regarding the handling of his/her account)
  • breach of fiduciary duty (when a broker fails to handle an investment with the high degree of care that investors are entitled to—for example by recommending junk bonds).

Ms. Malecki has also successfully defended industry participants, and works with such clients to devise strategies that will reduce their exposure to litigation and disputes. She represents industry participants in litigation, arbitration, and regulatory matters (including membership proceedings and actions) and provides such clients with a variety of services related to daily operations and compliance.

Malecki Law assists industry professionals who aim to partner with regulators and foster a better market—to the benefit of all involved. She frequently serves as a National Association of Securities Dealers arbitrator, and is a member of the Board of Directors of the Public Investors Arbitration Association (PIABA).

To schedule a free initial consultation with Malecki Law regarding any Securities Law issue, please call our New York office at 212-943-1233, email jenice@maleckilaw.com, or fill out and submit our online “Contact Us” form.