The regulations of the securities industry are strict, thorough, and demanding. The actions of securities professionals are carefully monitored at the civil, criminal, state, federal, regulatory and self-regulatory levels. Malecki Law has represented brokers, investment advisors, supervisors, compliance professionals, structured finance professionals, analysts, CFOs, CEOs, COOs, and others who fall under the watch of the Financial Industry Regulatory Authority (FINRA), the United States Securities and Exchange Commission (SEC), the U.S. Attorney’s office, state securities regulators, and other exchanges. To risk legal recourse from regulators is to risk placing yourself and your firm in peril. Malecki Law offers the committed counsel and strategic plans needed to survive and thrive in a regulated marketplace.

Our securities law attorneys will assist clients throughout various administrative proceedings and regulatory filings, including:

• Responding to Regulatory Investigations, Exams & Audits, Including On-the-Record Interviews, Document and Information Requests, and Subpoenas
• Review and Creation of Compliance / Supervising Directives and Procedure
• Self-Regulatory Organization Membership Applications
• Membership Renewals
• Membership & Registration Continuation Proceedings
• Restriction Agreement Amendments

For over 20 years, Malecki Law has assisted various types of industry professionals and firms in formal and informal civil, criminal, regulatory and enforcement actions, investigations, audits, and proceedings initiated by the SEC, FINRA, NASD, NYSE, AMEX, federal prosecutors, and state attorneys general. She carefully represents clients at each stage — from an informal inquiry, though the investigative process, including on-the-record testimony and the "Wells" process, at trial or hearing, and on appeal. Malecki Law has counseled many people through initial phases to “No-Action Letters” and small fines, as well as negotiated, favorable regulatory settlements generally known as AWCs (Acceptance, Waiver, and Consent settlements), and fully litigated hearings before regulators, self-regulatory organizations, government agencies, and criminal proceedings.