Case Results

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FINRA Arbitration Awards and Litigation Results

Most of our securities law firm’s arbitrated cases are settled amicably between claimant and respondent under confidentiality and non-disclosure agreements. In fact, the best cases tend to end in a settlement. Over the years, Ms. Malecki has recovered tens of millions of dollars for clients, including multi-million-dollar settlements in several categories: securities arbitration and litigations, employment arbitrations, business disputes, and tax shelter fraud cases. Our success further extends to more public proceedings, with arbitrator rulings published within the archives of FINRA’s Arbitration Awards.

  • $7,200,000: in settlements for a real estate-based Ponzi scheme

  • $2,000,000: in settlement for a group of high net worth hedge fund investors

  • $3,950,000: recovered for Ponzi Scheme victims from major brokerage firm’s activity in a satellite office.

  • $3,900,000: recovered for improperly recommended tax shelter fraud investments

  • $2,100,000: against a major financial institution & stock transfer company for failure to sell previous restricted stock for an Italian national

  • $1,150,000: Rodney Beck (deceased), Rodney R. Beck Living Trust d 12-05-04, Stacey Beck, and Stacey Beck Living Trust dtd 12-05-94, Claimants vs. Investacorp, Inc., Investacorp Advisory Services, and William C. Artmann, Respondents; 12/4/07.

  • $1,000,000: in settlements for a group of ethnicity fraud Ponzi scheme investor victims

  • $805,110: Duckkyu Chang, Kee Chang, et al. (Claimant) vs. McGinn, Smith & Co., Inc., Timothy M. McGinn, David Smith, et al (Respondents); 12/31/09.

  • $630,357: Michael Steifman (Claimant) vs. Merrill Lynch Pierce Fenner & Smith Inc. (Respondent); 10/09/2012.

  • $475,375: Joseph and Tomas Sollitto, Claimants vs. Global Capital Securities, Corp., Respondent; 12/23/03.

  • $467,000: Robert Ferrucci (Claimant) vs. McLaughlin, Piven, Vogel Securities, Inc., and Laurence T. Tulenko (Respondents); 9/14/06.

  • $152,494: Bart Delgado Sabal (Claimant) vs. Sky Capital, LLC and Michael Passaro (Respondents); 6/26/07.

  • $132,315: David Kast & K.P.M., Inc. (Claimants) vs. Greenway Capital Corporation / Dominick DeLorenzo / Barry Morton Ferrari / Joseph M. Guccione / Fred Luthy (Respondents); 6/26/98.

  • $2,500,000: settlement in Municipal Securities Industry compensation & Sexual Harassment claim

  • $2,000,000: recovered for a Whistleblowing trader against former employer

  • 28 Expungements for three brokers: in case involving their sell of a defective securities product.

  • $500,000: settlement for a Sarbanes Oxley Analyst Whistleblower Employee

  • Expungement: Gregg D. Templeton vs. Morgan Stanley DW, Inc.; 2/01/08. Registered Representative Claimant against his former employer alleging defamation by maliciously amending Claimant's U-4 form, breach of contract, constructive discharge, breach of fiduciary duty, interference with economic relations and breaches of the implied covenant of good faith and fair dealing. Claimant ‘s record was ultimately expunged.

  • $47,223.13: Counterclaim Award and Expungement: Wachovia Securities, LLC (Claimant) vs. Haran Brucker (Respondent); 8/19/08. Claimant asserted the following causes of action: nonpayment of promissory note. In his Counterclaims, Respondent asserted the following causes of action: defamation, breach of fiduciary duty, interference with economic relations, and breach of express and implied contract, breach of implied covenant of good faith and fair dealing, and conversion. He was awarded an expungement and his actual attorney’s fees.

  • $125,000: Michael M. Kownacki v. Morgan Stanley DW Inc; 6/04/07.

  • $80,600: Janeice Hunt-Schmidt, (Claimant) vs. David Lerner and David Lerner Associates, Inc. (Respondents); 7/11/02.

Client Reviews
Jenice Malecki is a highly successful securities law attorney. She is a brilliant strategist. She is a well respected litigator who knows how to win in court. As a former CEO and President of a public company traded on the NASDAQ (and currently a College President), I can attest, as a client, that Jenice Malecki's understanding of the law along with her business acumen and intellectual gravitas resulted in a 100% victory in my case before the Supreme Court of New York State. Jenice is a passionate and determined lawyer -- I want her in my corner -- anytime!​ Dr. John J. McGrath
I worked with Jenice and her team to successfully resolve a brokerage / securities related issue for an elder relative and was quite pleased with how they walked us through the process and took into account the challenges that age sometimes unfortunately present. They were all professional - and effective. I would use them again without question if the need arose. Bart
I have NO hesitation in recommending Jenice Malecki. She made a horrible situation bearable and performed above and beyond our expectations. April Voorhis
I highly recommend Malecki Law. It was a gratifying experience having Ms. Malecki incharge of our case. She is a true professional with a lot of experience. Jose Zorrilla