New York Securities Fraud Lawyers

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. As a result, we have successfully recovered tens of millions of dollars in FINRA arbitration and litigation settlements and awards for investors in broker fraud cases and securities industry professionals in brokerage firm related FINRA arbitrations.

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 or needs adjustment as 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. 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 passionately advocate for positive changes in the law at the Financial Industry Regulatory Authority (FINRA), at the Securities & Exchange Commission (SEC), within the walls of Congress, and in the media. 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.

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.

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 claim pursued in arbitration, state court, federal court, and various dispute resolution alternatives.

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 discrimination, sexual harassment, compensation, 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.

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.

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.

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 South American countries.