Item: Malecki Law
Rating: 5
Author: Mario

Comments on the Law - Part 2

Malecki Comments Cited by SEC

There can be no greater joy for a New York Securities Lawyer than to be relied on by the SEC in its rulemaking, and that’s the case with Malecki Law. Below are a list of matters where 30+ year veteran lawyer Jenice Malecki made public comments that helped advance the law:

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding. Ms. Malecki’s comment cited by SEC (October 8, 2014)

Financial Industry Regulatory Authority, Inc. (“FINRA”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2267 (Investor Education and Protection) to require that members include a prominent description of and link to FINRA BrokerCheck, as prescribed by FINRA, on their websites, social media pages and any comparable Internet presence and on websites, social media pages and any comparable Internet presence relating to a member’s investment banking or securities business maintained by or on behalf of any person associated with a member. Ms. Malecki’s comment cited by SEC (01/04/2013):

File No. SR-FINRA-2010-053 – Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes, to Provide Customers with the Option to Choose an All Public Arbitration Panel in All Cases; Response to Comments and Partial Amendment No. 1. Ms. Malecki’s comment cited by SEC (12/16/2010)

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Filing as Amended by Amendment No. 2 Relating to Changes to Forms U4, U5, and FINRA Rule 831. Ms. Malecki’s comments cited numerous times by SEC (May 13, 2009)

SEC [Release No. 34–59189; File No. SR–FINRA– 2007–021]

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Address Motions To Dismiss and To Amend the Eligibility Rule Related to Dismissals. Ms. Malecki’s comment cited by SEC (December 31, 2008).

File No. SR-FINRA-2007-021 – Proposed Rule Change to Amend Rules 12206 and 12504 of the Code of Arbitration Procedure for Customer Disputes and Rules 13206 and 13504 of the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals, Response to Comments. Ms. Malecki’s comment cited by FINRA (09/15/2008)

And on the same subject (March 20, 2008)

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Comments by Ms. Malecki

Here are comments that Malecki Law’s New York Securities Lawyers made:

Malecki Law Comment on new FINRA Rule 3240: Borrowing from and Lending (February 14, 2022)
Comment on FINRA Regulatory Notice 14-35: Customer Account Statements. (October 30, 2014)
Comment on SR-FINRA-2014-005 regarding Proposed Amendment to FINRA Rules 12104 and 13104 (May 20, 2014)
Comment regarding File No. SR-FINRA-2013-003, which proposes to bar persons associated with a mutual fund or a hedge fund from serving as a "public" arbitrator for a period of at least two years (the "cooling period"). (February 7, 2013).
Comment on SR-FINRA-2013-018 – Proposed Rule Change Relating to FINRA Rule 8313 – Response to Comments. (June 17, 2013)
Comment made on regarding SR-FINRA-2013-018 regarding the release of disciplinary information to the public. (April 13, 2013)
Comment regarding File No. SR-FINRA-2013-003, which proposes to bar persons associated with a mutual fund or a hedge fund from serving as a "public" arbitrator for a period of at least two years (the "cooling period"). (February 7, 2013)
Comment on FINRA Notice 12-10 and Form U-4/U-5 reporting and expungement. (April 17, 2012)
Comment on SR-FINRA-2010-035, regarding the arbitration discovery guide, opining positive change from NTM 99-90, but more is needed (August 24, 2010)
Support PIABA’s comment on the proposed revisions to Form U4 and U5 reporting, SR-FINRA2009-008. (April 17, 2009)
Comment on SR-NASD-2006-088 regarding Proposed NASD Rule 12504 (2006). Opposition to the Accelerated Approval request of the NASD for the Proposed Rule Change to NASD Arbitration Code, SR-NASD-2003-158 relating to motion practice in arbitration. (2003)
Comment on SR-NASD-2003-158 regarding Proposed Rule Change to NASD Arbitration Code (2003). Opposition to the Accelerated Approval request of the NASD for the Proposed Rule Change to NASD Arbitration Code, SR-NASD-2003-158 relating to motion practice in arbitration. (2003)

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Comments by PIABA, While Ms. Malecki was on the Board of Directors and Secretary of that Organization

Ms. Malecki has been a securities lawyer from New York on the Board of Directors, in an executive position, as Secretary of the Public Investors Arbitration Bar Association (“PIABA”) and, with PIABA, has also commented on legislation as part of that group and Board:

Comment re: SR-FINRA-2011-035 - Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook (August 23, 2011)

Securities lawyers in New York, such as Malecki Law, have their pulse on the market, around the corner from the NY Stock Exchange with an ear to the ground.

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★★★★★

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

Jenice was also special in giving us all the personal attention we needed, plus the tireless support of her crack team, over the course of ~18 mos. She talked us through every step of the way, and was open to discussing specific negotiation tactics, not glossing over anything. Dave Bliss

I recently worked with Jenice to negotiate a business buyout, and I couldn't be more pleased with the experience. From the start, Jenice was incredibly helpful and deeply invested in achieving the best possible outcome for me. Her expertise and dedication were evident in every step of the process. David

I can’t say enough about Jenice and her team- they set the standard. As an Army veteran, I deeply respect the values they reinforce while operating at a level of tenacity that is unmatched. They handled the entire process with empathy and kindness- yet were firm and honest regarding expectations and outcomes. Communication was clear and swift. Their breadth of knowledge and experience provided comfort during a stressful time and was impressive to watch unfold. I’m very happy with the outcome. Thank you Jenice and team for making giants seem extremely small. Sharron Todd

My experience with jenice was incredible. You want a lawyer who is advocate for you and fights for you with passion. She came along a time in my life that I needed an advocate who truly cared about me and my case. Highly recommend. Pat Brown

I had the privilege of working with Malecki Law, and I must say it was an outstanding experience. Jenice, Jacqueline, and Adam consistently demonstrated remarkable responsiveness, offering excellent advice that reflects their diligence and precision. Their bold and intelligent approach, combined with an excellent attitude, truly sets them apart. I highly recommend Malecki Law to anyone seeking top-notch legal assistance. Mohsen Chitsaz

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

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