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. 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 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 everyday life, but understanding the multifaceted needs and requirements of the client.

Malecki Law believes in honest reporting, encourages cooperation with regulators and has a 20 year 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 whistle blowing case.

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.

Malecki Law has a desire to ass ist 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:

• Dodd-Frank Whistleblower Cases
• 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, & 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:

• Investment Professionals and Advisors
• Traders, Specialists and Floor Brokers
• Structured Finance Professionals
• Institutional and Foreign Investors
• Banking and Brokerage Firms
• Hedge Funds
• 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
• FINRA Application, Amendment, and Continuation Issues
• FINRA Web Applications
• SRO Examination
• Corporate Formation and Governance
• Reporting Requirements, including, but not limited to, Trade Reporting
• Rules, Forms U-4, U-5, 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

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.