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Governmental, Regulatory and Self-Regulatory Proceedings

Under the Securities Exchange Act of 1934 (the Exchange Act), the broker-dealer industry is regulated by the Securities Exchange Commission and a self-regulatory organization (SRO). The Financial Industry Regulatory Authority (FINRA) has emerged as the primary self-regulatory body for broker-dealers in the United States, entrusted with the responsibility of protecting investors and strengthening investor confidence in the securities industry. When a brokerage firm or a broker abuses investors' trust, breaches industry rules, or cause financial losses, the self-regulatory body FINRA may step in to initiate disciplinary proceedings. It also provides a lower cost and faster forum FINRA Dispute Resolution to arbitrate disputes in the industry, similar to a court. Malecki Law’s New York regulatory lawyers are here to help you navigate these parallel regulators.

In certain circumstances, FINRA will refer fraud and insider trading cases to the SEC and other agencies for litigation and prosecution. FINRA receives complaints directly from investors and industry members, but also refers fraud and insider trading cases to the SEC and other regulatory bodies for litigation and/or prosecution. Usually, it is the cases that pass on to the SEC that garner media headlines, but the financial industry’s regulatory and self-regulatory proceedings are crucial and commonplace in keeping the industry safe for investors. In this space, Malecki Law’s New York regulatory lawyers have decades of experience.

When audits and investigations uncover issues of significance (or perceived departure from industry rules), governmental regulation and proceedings commence. The experienced regulatory attorneys in New York at Malecki Law have developed a distinguished history as counsel in securities enforcement actions brought forth by the SEC, FINRA (formerly NASD and NYSE), federal and state criminal authorities, state securities regulators, and other self-regulatory organizations and exchanges. One of the most critical decisions, whether to litigate or settle, cannot be lightly decided and requires skilled, experienced advice.

The regulatory law firm in New York, Malecki Law, has an excellent rapport with civil and criminal, regulatory, and self-regulatory bodies developed over 20 years. While Malecki Law thrives in the litigated setting such as trials or hearings, zealous representation often involves on-the-record interviews, sit-downs with regulators, and a favorably negotiated settlement or cooperation agreement.

Litigating breaches of regulatory rules and laws can be costly, time-consuming, and a risk to one’s employment. Like arbitration, regulatory hearings are conducted much like internal trials, before industry professionals and administrative law judges. Such violations not only involve brokers' misconduct but could also result in investigations by a criminal authority.

Ms. Malecki represents individuals from the initial stages of investigations through trial and on appeal in a wide range of complex civil and criminal matters, including before the Securities and Exchange Commission ("SEC") in enforcement actions, regulatory proceedings, securities and financial litigation, commercial litigation, and international disputes. She has counseled clients in civil and criminal investigations, congressional inquiries and testimony at hearings, and in internal audits and investigations.

Ms. Malecki defends in enforcement actions and investigations initiated by various federal and state agencies and departments including the SEC, Department of Justice, United States Attorneys, state attorney generals, and the Financial Industry Regulatory Authority ("FINRA"). These matters involve allegations related to securities, banking, and accounting fraud; insider trading; antitrust violations; whistleblowers; adequacy of disclosures; broker-dealer and investment adviser compliance; fiduciary duties; mortgages and lending; complex financial products; securitization; deceptive trade practices; and other similar areas.

Useful Links for Regulation and Self-Regulation United States Securities & Exchange Commission

450 Fifth Street, N.W.
Washington, D.C. 20549
202-942-8088 Main Number
202-942-7040 Public Complaints
202-942-4530 Enforcement
202-942-2900 General Counsel

Financial Industry Regulatory Authority

1735 K Street
Washington, D.C. 20006

Commodities Futures Trading Commission

1155 21st Street, N.W.
Washington, D.C. 20581
202-418-5000 Main Number
202-418-5250 Office of Proceedings & Reparations
202-418-5320 Division of Enforcement
202-418-5120 General Counsel

New York State Attorney General's Office

Bureau of Investor Protection
120 Broadway, 23rd Floor
New York, New York 10271
1-800-771-7755 Consumer Fraud

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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