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Investor Arbitrations

From Jenice's interview for the Masters of the Courtroom series on
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From Jenice's interview for the Masters of the Courtroom series on
View Transcript

If you have a problem with a brokerage firm or investment advisor, Malecki Law is a skilled and proven New York FINRA Investor Arbitration law firm with decades of experience and a stellar track record. Lead attorney Jenice Malecki has been an advisor to the FINRA Arbitration Board of Directors through the National Arbitration and Mediation Committee, as well as commented on and helped form new FINRA Arbitration rules and helped educate arbitrators for FINRA’s forum.

Malecki Law will guide you from the intake of your case through the hearing in a way that makes the process as easy and transparent as possible. We believe you should always know what to expect, what is going on in your case, and have material input in the strategy and focus. It is our job to present you with options both for how to proceed with the case, as well as how to resolve it. Your problem is our mission and we leave no stone unturned.

Our investor arbitration clients range from prominent sports figures and Fortune 500 entrepreneurs to more vulnerable groups like retirees and elderly widows, who lost their nest eggs and the safety of their retirement income as a result of fraudulent and/or unsuitable advice from financial professionals.

Our New York FINRA Investor Arbitration law firm has experience and success bringing actions at FINRA, the SEC and other self-regulatory forums, as well as private arbitration forums like JAMS Endispute and the American Arbitration Association (AAA) for individuals and groups including:

  • Individual Investors
  • Institutional Investors
  • Foreign Investors
  • Hedge Funds and its Participants
  • Foundations
  • Endowments
  • Municipalities

Our FINRA Investor Arbitration lawyers in New York zealously prosecute investor rights. Our team has successfully recovered tens of millions of dollars in securities industry settlements and awards for investors through arbitration and mediation.

Understanding Securities Arbitrations How Do I File a FINRA Arbitration?

The Financial Industry Regulatory Authority (FINRA) handles most securities arbitrations, with limited exceptions. Some specific contracts, usually larger disputes with investment advisory firms, designate the American Arbitration Association (AAA) or JAMS Endispute.

As an industry-standard, investors sign arbitration agreements as part of new account forms with a brokerage firm, with disputes to be handled by Financial Industry Regulatory Authority (FINRA), a self-regulatory body for all brokerage firms in the United States. FINRA’s constitution also allows investors to choose arbitration (unilaterally) if the agreement with the brokerage firm does not have an arbitration clause.

How Do I File a FINRA Arbitration?

Arbitration is an alternative to court. It is like being in court, with a lot less formality and expense involved. Instead of a courthouse, it takes place in a conference room. It all starts with the filing of a statement of claim – what incourt would be called a complaint. Instead of a judge, there is a chairperson that makes discovery rulings in the arbitration. Our FINRA Investor Arbitration attorneys in New York can guide you through the process from filing to hearing – and lawyers in general are statistically proven to fair better than pro se (self-represented) parties in the FINRA forum.

There is a discovery period but no depositions. After discovery, the parties either settle or go to a hearing starts where there are opening statements, closing statements, witness examinations and cross-examinations, documentary evidence introduced, objections, motions. A decision is made approximately 30 days after the close of the hearing. A party can win their entire claim, nothing, or anything in between. Arbitrators are not required to give reasons for their decision.

If you are an industry professional, by signing a Form U4, your broker-dealer is required to arbitrate with you, unless a specific agreement has been signed designating another forum for the dispute.

The arbitration process begins with customers filing a statement of claim for arbitration with FINRA. Find out more about filing FINRA Arbitrations here: How Do I File a FINRA Arbitration?

The most common investor claims include:

  • Scams (Fraud), Omissions and Misrepresentations under Federal Securities Laws
  • Elder Fraud and Affinity Fraud
  • Overconcentration
  • Unsuitability (Recommendations not in your “Best Interest” per Regulation BI)
  • Unauthorized Trading
  • Churning / Overtrading
  • Theft (Conversion)

Click here for detailed information on Typical Investor Claims

Click here for FINRA Rule 12206 which speaks to “Time Limitation on Submission of Claims.”

FINRA continues to be the largest dispute resolution forum in the securities industry and they are making the treatment of senior and other vulnerable investors a key priority in 2016.

See article on FINRA Zoom arbitrations and mediations

Click here for our significant representations by our New York Investor Arbitration and Mediation team

For further reading, please check the following blog posts:

Attorney Advertisement. Prior results do not guarantee a similar outcome.

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