Industry Recognition
Badge - AV Preeminent 2020
Badge - Expertise, Best arbitrators & mediators in New York, 2016
Badge - Best Attorneys of America
Super Lawyers
Badge - Badge - Avvo Rating 10.0 Top Attorney
Badge - Super Lawyers Jenice L. Malecki
Super Lawyers 2021
Martindale-Hubbell Client Reviewed
Expertise - Best Employment Lawyers in New York City
Avvo Reviews
NYC Bar Association

New York Securities Fraud Lawyers

Providing National and International Representation

As a boutique securities law firm, Malecki Law provides high quality legal representation to investors, financial professionals, whistleblowers, and commercial clients around the nation and around the world from our New York offices and sometimes with the help of our network of colleagues around the globe. Since Malecki Law’s founding in 1999, we have achieved significant awards, settlements, regulatory victories, expungements, and other desired outcomes for thousands of clients. Our goal is to uphold high ethical standards while pursuing aggressive cutting-edge legal solutions to secure the best possible resolution for our clients. Malecki Law securities attorneys leave no stone unturned.

The majority of our securities law practice covers matters related to investment fraud, securities employment issues, governmental, regulatory and self-regulatory proceedings and subpoenas, audits and investigations, as well as whistleblower representation. We represent victims of broker fraud such as individual and institutional investors, from retirees and elderly widows to Fortune 100 entrepreneurs and investment companies. We regularly represent securities industry employees in brokerage firm disputes, SEC, FINRA and employer investigations, as well as intra-industry disputes between members and disputes involving employment, transition and Form U5 termination issues. Our securities fraud lawyers working in New York for clients around the world also represent securities industry whistleblowers and subpoenaed witnesses at the SEC, DOJ, FINRA and NY D.A.’s office, to name a few.

The Right Lawyer can Make Dealing With Your Legal Issue Easier

When most people have a legal issue in a highly regulated environment like the securities industry, it can feel overwhelming. This is where the right lawyer can help. A straight-talking New York securities law firm like Malecki Law can make it easier. Malecki Law will let you know your realistic options, tell you anticipated costs and fees you can expect, discuss possible outcomes and strategize with you to achieve your goals transparently – with your eyes wide open.

Navigating the financial services industry could be tough for anyone, given the extensive securities laws, rules, and regulations combined with the many complex investment products available today. Having an extensive background working on both sides of the fence - with securities industry professionals and investors – Malecki Law has a keen understanding of the complexities of arbitration, mediation, regulation, and securities litigation. Malecki Law takes pride in leveraging its mastery of securities laws, rules, and regulations to represent investors and employees against large brokerage firms, governmental and self-regulatory bodies, as well as blowing the whistle on fraud for clients in a way that could potentially benefit them.

In the center of the United States’ financial capital, our New York securities fraud lawyers always show up with the diligent preparation to aggressively pursue cases in federal court, in state court, at the US Securities and Exchange Commission, in FINRA arbitration and regulation, in AAA arbitration, as well as at JAMs and other various dispute resolution forums.

From your very first meeting, Malecki Law securities lawyer will patiently listen to fully understand your situation, needs and personal circumstances to craft a customized winning legal strategy, as well as make sure throughout the case that the strategy continues to be the right path, making adjustment as needed as the case progresses and witnesses and documents shape the case. For the entirety of your representation, we will be highly responsive to your questions and concerns while working ferociously against your adversary to secure a favorable resolution. We have successfully battled some of the largest law firms in the world, we are a strong team for your case. Our client testimonials and peer ratings exemplify the high level of service and dedication that our firm invests towards every case. Our securities fraud attorneys work around the clock exhausting all efforts to secure the best possible outcome -- within agreed budgets, strategies and other parameters.

Besides our unparalleled experiences, Malecki Law is distinguished by a genuine commitment to fostering a fair market for investors and industry professionals. Malecki Law attorneys advocate passionately for much-needed changes in securities industry laws, rules and regulations, at FINRA, the SEC and within Congress. We also do not fear getting in a media battle, our media records demonstrate how skilled we are in that as well – but only when it is at the client’s request. Being discrete can be just as important for many people.

We have advocated for our clients through the amicus briefs that we have filed with multiple state and federal courts, and via the countless official comment letters, we have submitted to the SEC and FINRA. Our securities fraud lawyers in New York will not stop advocating and fighting for our clients until fraud is the exception and not the norm.

Learn Your Rights

Malecki Law welcomes individuals in need of quality legal representation for matters involving securities litigation, arbitration, commercial litigation, whistleblowing, or regulatory matters to contact us at any time for a free consultation. There are several flexible fee structures available to suit a client’s unique personal circumstance and the legal matter they are pursuing: hourly, contingency, a flat fee or, a hybrid of payment arrangements. Our New York-based securities fraud lawyers are accommodating to ensure that cost is not an obstacle for you to pursue meritorious claims. Call us directly at (212)-943-1233 or fill out a form online to speak directly with an experienced securities fraud attorney.

Investment Fraud

While events like COVID-19 might cause a sell-off in the market, often times such a bear market reveals other problems that were hidden because like a high tide, a bull market often “lifts all boats.” Now is a time to carefully review your investment portfolios.

Financial fraud against investors is a rampant problem in the industry resulting in billions of dollars in losses each year. Investment fraud manifests itself in many ways from being implicitly manipulated by a trusted friend or family member to a broker mismanaging your brokerage account. Fortunately, the securities industry has federal and state laws, rules, and regulations that hold those responsible for defrauding investors legally accountable. When recommending investments, brokers must be sure that the investments are considered suitable given the investors’ age, risk tolerance, and other pertinent details. Financial advisors must manage investment accounts with an even higher standard of care, which is the fiduciary duty. Investors are also legally entitled to honest reporting, and no misrepresentations. FINRA brokerage firms are required to supervise their registered representatives to prevent investment fraud and negligence.

Investors can pursue claims for unsuitability, unauthorized transactions, churning/overtrading unjust enrichment, theft, forgery, and supervisory failures. Our investor fraud attorneys help individual and institutional investors from everyday people losing their retirement nest eggs to high profile entrepreneurs with millions of dollars at stake. Frequently, investors must handle disputes with their account handled in a FINRA-registered brokerage firm in the agency’s arbitration forum, which comes with its own rules and procedures separate from regulating courtroom litigation. Our securities fraud lawyers in New York have in-depth knowledge of working the FINRA arbitration process to clients’ success from representing thousands of clients. To date, our investment fraud lawyers have recovered millions of dollars for investors in claims pursued in arbitration, state court, federal court, and various dispute resolution alternatives.

Securities Employment and Industry Disputes

Employees in the financial services industry face occasionally face issues with their employing brokerage firm, customers, or other regulatory bodies. When registering to work with a new FINRA-registered brokerage firm, employees fill out Form U4s and receive promissory notes that employers will pursue legal action to collect on upon termination. Securities laws mandate that all any disputes a broker has with their employer, customers, regulatory agencies, or other criminal authority be reported in their publicly accessible records. Sometimes, securities employees servicing their customers’ accounts with integrity will run into issues with their employing brokerage firm or an unjust derogatory mark on their records. A derogatory disclosure documented on a Form U4/U5 can destroy a financial professional’s livelihood. Our securities employment lawyers have successfully helped financial professionals win favorable verdicts in claims against their employing brokerage firm in arbitration and courtroom litigation.

Our securities employment practice represents brokers, traders, analysts, whistleblowers, corporate executives, specialists, structured financial professionals, company founders, partners in hedge funds, LLCs, and other organizational members. We have helped secured hefty settlements for securities employees dealing with issues related to compensation, retaliation, discrimination, sexual harassment, indemnification, severance package termination agreements, and more. Within a single FINRA arbitration case, our securities employment lawyers were able to get expungement granted for 28 customer disclosures. Common securities industry complaints involve issues with bonuses, promissory notes, wrongful discharge, U4/U5 filings, and other employment issues.

Government, Regulatory and Self-Regulatory Proceedings

Securities employees work in a highly regulated industry under the watch of the Securities and Exchange Commission, Financial Regulatory Authority, state securities divisions, and other agencies. It is not uncommon for financial advisors, brokers, and other industry employees to get involved in governmental, regulatory or self-regulatory proceedings at some point. Although the subpoenaed party may not necessary have committed wrongdoing, unintentional self-incrimination can quickly happen when multiple parties have an agenda.

It is essential for financial professionals to immediately retain a securities regulatory lawyer who can look out for their best interests and protections. Receiving a subpoena does not have to be as intimidating with the help of a securities regulatory attorney making sure that the appropriate response is taken. Leveraging excellent rapport and insights into regulatory (SEC) and self-regulatory (FINRA) agencies, our attorneys negotiate favorable outcomes for clients. Our securities lawyers are skilled at devising a solid regulatory defense strategy that will minimize costs and protect your livelihood. Clients in our regulatory practice usually end up with favorable outcomes, including no-action letters, favorable AWC settlements, and other positive results.

Commercial Litigation and Appeals

The business world is ripe for conflicts that arise from contract disputes, employment, and various points of contention. Issues can take a toll on the successful operations of a business by wasting precious resources like time and money. Retaining the services of a skilled commercial litigation attorney as soon as possible can help avoid lengthy and expensive courtroom litigation. Whether you are facing issues with getting ousted by shareholders or a dispute with an agreement, our commercial litigation attorneys can be of assistance. Our business litigation attorneys are problem solvers with the wherewithal to resolve issues arising before, after, and during litigation. At Malecki Law, building an affordable, cost-effective, and efficient strategy to obtain a favorable outcome for our business clients is a top priority.

Clients often come to us for help with “divorce”/partnership dissolution, contract disputes, officer/liability, breach of warranty, business and employment contract negotiations, a contest for control of a cooperation or partnership, interference with business relationships. Other cases involve defamation and libel disputes, deceptive business practices, breach of non-disclosure, interference with business relationships. Some of our commercial litigation clients have included business owners, high-level executives, entrepreneurs, investors, investors, board of directors, LLPs, and employees. We have represented business clients within the United States as well as abroad in federal or state courts, administrative hearings, arbitrations, and mediations. Even in high-stakes, complex multi-district and inter-disciplinary litigation, our attorneys can fearlessly fight on your behalf.

Free Consultation With a Securities Lawyer

Anyone in need of help can contact Malecki Law to speak directly with one of our securities fraud lawyers in New York. All initial consultations are completely confidential and free. Malecki Law has represented clients in the United States, many Western European countries, India, China, Hong Kong, Singapore, Israel, Puerto Rico and in several Central and South American countries, as well as Mexico.

Why Choose Us
We are a Securities Focused Firm We Know Both Sides of the Arguments We Have a Proven Track-Record
We are Focused on Getting You the Best Outcome We Win Battles Against Big Entities with Big Law Firms We Have Excellent Credentials in the Industry
Our Team
The Importance Of Experienced Counsel

The retention of an attorney is an important decision made with great care. Please review our web site and examine our experience and credentials

TV Appearances
Client Reviews
Jenice Malecki, is one of the most helpful individuals Ive had the pleasure of speaking with. She is super knowledgeable. She helped me navigate the ever changing world of securities law. You will find her understanding of complex matters helpful and insightful. She is straightforward and candid. She makes your options easy to understand. I would recommend her without any hesitation. 10/5 stars! Enrique Tiburcio
I highly recommend Jenice and her team for any securities matters. She is a true professional and a pleasure to work with. She responds quickly to emails and listens to your concerns/questions. Jenice makes sure you're always informed and in the know about your case. Great experience and also very fairly priced! Jeff
An excellent professional who represented us in trial regarding a bank fraud, an unexpected and difficult time. A professional that worked hard, persevering and who stood toe to toe against firms that had a team of excellent lawyers backing them up. Her unflinching determination really stands out, it makes you feel you have someone who really cares about trying to recover what you lost from the people that wronged you. Salomon Levi
It is difficult to thank you in words when gratitude comes from the heart, so I will try to link feelings with writing. It is essential for us to mention your excellence as a professional, your aptitude on legal fields, and your unavoidable persistence. All of these virtues that elevate the profession you exercise in such an admirable way, go hand in hand with your sense of ethics, your human warmth and the transparency in your actions. To sum up, thank you for being a listening ear and for having the right word while transmitting information about the legal process. Having you as our representative during such an adverse situation was a privilege and enough reason for our eternal gratitude. Angeles Aparain
To say that my securities litigation was complex would be a severe understatement. With multiple parties involved and spanning many years, trying to understand the issues was daunting to say the least. Jenice and her team broke down the transactions by segment and by party uncovering every hidden expense. In the end, I was more than happy and could not thank Jenice and her team enough. I would not hesitate to recommend Jenice to anyone. She is highly professional, incredibly knowledgeable, well connected to industry experts, has a tireless work ethic and is so pleasant and easy to communicate with. Five stars for sure! Andrew Loughrane
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