Representing investors, financial professionals, whistleblowers, witnesses
and commercial clients around THE US and the world since 1999
Recognized in the Industry
Badge - AV Preeminent 2020
Badge - Best Attorneys of America
Super Lawyers
Badge - Badge - Avvo Rating 10.0 Top Attorney
Martindale-Hubbell Client Reviewed
Expertise - Best Employment Lawyers in New York City
Avvo Reviews
NYC Bar Association

Top Securities Fraud Lawyers Representing Clients
Nationally & Internationally

Malecki Law is a successful, strategic and straight-talking law firm dedicated to securities law. Our New York securities fraud lawyers serve investors, industry participants, whistleblowers, witnesses, and commercial clients across the country and around the world in a range of securities arbitration, regulatory, and employment matters. Our unique practice gives us the ability to observe all sides of the securities law issues, anticipate the other side and succeed in your goals.

From fighting for wronged investors in FINRA arbitration to counseling financial professionals, corporate employees and the public facing SEC investigations, FINRA 8210 requests, U4/U5 expungements, and employment disputes, we provide experienced counsel when the stakes are high. Led by Attorney Jenice Malecki, a respected authority in the field of securities law, we have cultivated a reputation as fierce and ethical advocates.

Since 1999, Malecki Law has secured tens of millions of dollars for clients. This includes multi-million recoveries in investor-side arbitrations involving fraud and misconduct, countless expungements for broker-advisers, and a broad range of victories for firms and FAs in FINRA and SEC enforcement actions and investigations, state administrative hearings, and intra-industry disputes over issues such as internal investigations, transition and termination. As true veterans in a specialized field, we have the skill and the tools to tackle the toughest cases.

If you have a complex or high-profile securities matter anywhere in the U.S. or abroad, our New York securities fraud lawyers at Malecki Law are here to help.

Our goal is to uphold high ethical standards while pursuing aggressive innovative legal solutions to secure the best possible resolution for our clients. Malecki Law securities attorneys leave no stone unturned. Our securities lawyers working 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. 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. Securities law is not intimidating with the right securities lawyers, Malecki Law.

In the center of the United States’ financial capital, our securities fraud attorneys in New York 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, a 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 attorneys 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 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.

Recover Your Investment Losses From Investment Fraud

While events like COVID-19 and its aftermath, rising interest rates and political unrest might cause a sell-off in the market, often 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. For seniors, elder financial fraud is especially important to look out for. Regulators have strict rules around the treatment of seniors and failing to follow those rules can be negligent and/or fraudulent.

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 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, amongst other claims. 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.

Investors generally must use FINRA or the American Arbitration Association’s (“AAA”) arbitration forum, which comes with their 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.

Pre-filing and post-filing, there is also always a chance to settle or mediate your claims, which is designed to help confidentially settle in a formal process before a neutral third party.

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, including for monetary damages and expungement.

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 twenty-eight 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 (SEC), Financial Regulatory Authority (FINRA), state securities divisions, and other agencies. It is common 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. Moreover, you do not need to be an industry professional to get caught up in a state or SEC subpoena in an investigation. You still need quality representation.

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 FINRA 8210 Request for Information or a state or SEC subpoena can be career-changing without the help of a securities regulatory attorney making sure that the appropriate responses are made in the best way to protect yourself. Leveraging historical success and excellent rapport and insights into regulatory (SEC) and self-regulatory (FINRA) agencies, our attorneys negotiate favorable outcomes for clients. Our New York securities fraud lawyers are skilled at devising a solid regulatory defense strategy that will minimize costs and protect your livelihood. Clients in our regulatory practice have had many 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.

Malecki Law is trusted by numerous news media agencies to provide the facts about securities law, financial schemes, and the latest regulatory updates in our practice area. In addition to sharing insight and commentary with some of the world’s largest and most respected publications, we earn our fair share of coverage as well. Here is our most recent print coverage.

Fighting for the Underrepresented

Whether you are a public investor, an investment professional with a problem, or a woman or person of color, you are underrepresented in the securities industry and at constant risk of being maligned, marginalized, and scapegoated. As a female-led firm with 20+ years in practice, Malecki Law knows how to level the playing field and help you fight back against powerful brokerage firms that think they call all the shots.

Malecki Law is a New York-based boutique securities law firm practice that represents individual and institutional investors from all walks of life. Call or contact us online to speak with a lawyer.

What Sets Our Boutique Firm Apart?
What Sets Our Boutique Firm Apart
  • Securities Focused Firm
  • Knowledgeable in Both Sides of the Arguments
  • Focused on Getting You the Best Outcome
  • Battles Won Against Big Entities with Big Law Firms
  • Proven 30-Year Track Record
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Laws We’ve Impacted We have always been advocating for you, Malecki Law gets involved in the rulemaking process to help current and prospective clients, we care about the law.

Malecki Law is not satisfied in accepting the system as it is, we are dedicated to our craft and advancing the law to make it fair for all.

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Over 30 Years of Experience Malecki Law is an internationally renowned securities law practice with a proven record of success. Comprised of award-winning attorneys regarded as authorities in their field, we've leveraged three decades of experience for both sides of the fence to secure significant recoveries and results for investors, investment professionals and industry participants across the globe.

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Testimonials From Former Clients
I highly recommend Jenice and her team at Malecki Law. I had a challenging, and lengthly case. Jenice was professional, very knowledgeable, and a pleasure to work with. She managed to make the process far less stressful during a very difficult time. They care about their clients, and it definitely shows. Mario
Jenice is truly a miracle worker and one of the top securities lawyers. She handled a very difficult case for us, displaying her legal knowledge, intelligence, and savviness throughout the process. I cannot recommend her enough. The quality of work from her team rivals that of corporate law firms. She was always available, extremely professional, and made sure to know all the details of the case. We were very fortunate to have been referred to Jenice and highly recommend her for any securities related legal issues. Nathan A.
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
As Seen In

Malecki Law is regularly featured in the media discussing our work, sharing our insight, and educating investors and peers about important developments in securities fraud and arbitration. From print and presentations to television and radio, we're active in our area of practice and respected by those in the now.

The Wall Street Journal
The New York Times
The Economist
The Narional Law Journal
Fox Business
Fighting for the Underrepresented

Whether you’re a public investor, an investment professional with a problem, or a woman or person of color, you’re underrepresented in the securities industry and at constant risk of being maligned, marginalized, and scapegoated. As a female-led firm with 30+ years in practice, Malecki Law knows how to level the playing field and help you fight back against powerful brokerage firms that think they call all the shots.

Securities Fraud Lawyers Blog
The Wall Street Journal
Contact Us
  1. 1 Free Consultation
  2. 2 Fee Arrangements & Contingency Fees
  3. 3 Decades of Versatile Experience

Fill out the contact form or call us at (212) 943-1233 to schedule your free consultation.