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Jenice L. Malecki

jenice@maleckilaw.com
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Phone: 212.943.1233 Ext: 3
Fax: 212.943.1238

11 Broadway #715
New York, New York 10004

JENICE L. MALECKI, ESQ. is a well-known securities attorney with a uniquely diverse background from experience representing a wide range of clients in securities and commercial arbitration, litigation and, regulatory matters, from investors to industry professionals. She has successfully recovered tens of millions of dollars in securities related settlements and awards for her clients. As an aggressive litigator, her unique background enables her to see both sides of the dispute and anticipate the opposition. In her nearly thirty years of experience, Ms. Malecki has handled thousands of investor, intra-industry and employment matters, arbitrations, litigation proceedings and appeals, contested governmental, regulatory, and self-regulatory investigations and hearings, as well as mediations, settlements, Acceptance, Waiver and Consent Orders (“AWC”s) and whistleblower complaints. She has also represented investor and industry witnesses and cooperators before various governmental, regulatory and self-regulatory bodies in hearings and settlements.

Ms. Malecki has extensive experience in FINRA arbitrations from representing claimants and defendants to serving as a FINRA arbitrator and Chairperson. She is also a trained mediator and qualified as an Expert Witness by FINRA arbitrators. She has been on the National Arbitration and Mediation Committee (NAMC), which advises FINRA’s Board of Directors. Ms. Malecki a frequent bar association and law school speaker, as well as a seasoned authority on New York law, who frequently files official comments for consideration on new rules and laws. In 2014 and 2015, she visited Senators and House of Representatives members’ offices to garner support for the Investor Choice Act of 2013, on the floor of the House of Representatives, and to persuade the Senate to pass similar legislation to the Department of Labor’s “Fiduciary Rule.”

Ms. Malecki was also the Vice President on the Board of Directors of the PIABA Foundation, an investor educational non-profit group with a mission to educate investors and provide the public with information about abuses in the financial services industry and the securities dispute resolution process. Ms. Malecki is a member of and has been on the Board of Directors (and an Officer of) the Public Investors Arbitration Bar Association (PIABA) and been a member of the Securities and Exchanges Committee (SEC) at the New York City Bar Association and the New York State Bar Association, having spoken many times at the Practising Law Institute (PLI), the New York City Bar Association and the New York County Lawyers Association, Brooklyn Law School, St. John's Law School and New York Law School, as well as participating annually in PIABA's year-end conference.

Ms. Malecki’s speaking engagements extend to appearing as an expert for the Wall Street Journal Live, NBC’s Today Show, Fox Business News, ABC’s Eyewitness News, Bloomberg Television, China TV, EBR TV and several other syndicated shows and networks. She has also appeared on Steve Forbes’ in-flight radio show “America’s Most Influential Women in Government, Technology, Business, and the Law”, as well as other nationally syndicated radio programs. She and her cases have been and continue to get cited in numerous industry publications, including The Wall Street Journal, The New York Times, Forbes and Newsweek. The Wall Street Journal featured Ms. Malecki in a permanent educational video clip about the arbitration process at FINRA on its website.

Ms. Malecki’s experience as a New York securities attorney began in class-action litigation, having worked on the famed class-action case In re Crazy Eddie in the counsel’s office of the lead plaintiffs. Throughout the 1990’s she represented numerous broker-dealers and was instrumental in regulatory matters involving well-known “boiler room” stock fraud characteristic of the era and actually represented the progeny of the real-life “Wolf of Wall Street”, that was the subject of a Hollywood blockbuster. In 1999, Ms. Malecki founded her own practice, Malecki Law, in Manhattan, which today employs a staff of securities arbitration, litigation and employment lawyers.

A natural fit and compliment to her securities work, Ms. Malecki has successfully represented clients in State, Federal and Appellate courts in various type of commercial and business disputes, including breach of partnership agreements, securities transactional disputes, employment disputes and contractual cases, against major and well-funded adversaries.

CLIENTELE AND CASE RESULTS

Malecki Law has represented several prominent individuals in securities arbitration and Manhattan employment law cases. Some of Ms. Malecki’s clients are as follows:

  • Famous “Dot Com” professionals, including both founders of Activision/Blizzard
  • A founder of Fairway and Fresh Direct
  • Whistleblowers like Arturo Cifuentes and Eric Kolchinsky
  • The Neuberger family, founders of Neuberger Berman, a private investment firm
  • Renowned inventor William Faenza
  • Artists-- jazz flutist Bobbie Humphrey, teen singing idol Tevin Campbell, famed local New York playwright Tony Sokol, and New York dance troupe Dura Mater.

Ms. Malecki has repeatedly secured substantial securities industry settlements and awards for her investor clients and favorably settled employment disputes for industry professionals. Here is a sample of some significant representations:

  • $7.2+ million in settlements in a real estate based Ponzi scheme for average middle-class investors
  • $3.9 million recovered for improperly recommended tax shelter fraud investments
  • $3.8+ million for a group of financial advisors against a major international brokerage firm related to a product failure, employment damages and expungement
  • $2.5 million in settlement in Municipal securities industry compensation & sexual harassment claim
  • $2 million against brokerage firm for investing into hedge fund
  • Won a complete dismissal for a Chinese company’s founder and director relating to the company’s $50 million financing dispute with a hedge fund
  • $1.15 Million awarded in an unsuitable investments case for former professional Baseball player, pitcher Rodney Beck
  • $750,000+ settlement for retired entrepreneurs in FINRA arbitrations relating to an over-concentration case in losses in Puerto Rican bonds against a major financial institution
  • $2.1 million in settlements against a major financial institution & stock transfer company for failure to sell previous restricted stock for an Italian national
  • $2 million recovered for a Whistleblowing trader against former employer
  • $400,000 recovered from a major international brokerage firm for contract breaches and supervisory failures.
  • Ms. Malecki was a consulting expert on Ontonimo (OMO) Limited vs. BNP Paribas Securities Corp. – ($16.6 million FINRA award in 2015).

RATINGS AND HONORS

  • AV Preeminent Peer Review Rating by Martindale-Hubbell
  • Avvo Rated 10/10
  • Named Top Attorney by Super Lawyers and the National Law Journal every consecutive year since 2012
  • Named one of “New York’s Women Leaders in the Law” in 2014

EDUCATION

  • J.D., New York Law School, 1991, Cum Laude
  • B.A., Philosophy and Theatre, Manhattanville College, Cum Laude

BAR ADMISSIONS

  • New York State Bar
  • District of Columbia Bar
  • Massachusetts Bar
  • U.S. District Court Southern District of New York
  • U.S. District Court Eastern District of New York
  • U.S. Court of Appeals 2nd Circuit

PROFESSIONAL ASSOCIATIONS AND MEMBERSHIPS

  • The PIABA Foundation- Former Vice President
  • New York City Bar Association - Member
  • Public Investors Bar Association – Member, former Board of Directors, and Secretary
  • FINRA’s National Arbitration and Mediation Committee (NAMC) – Member

Speaking Engagements

Upcoming Engagements

  • Chair: “Consultants, Third Party Providers, Other Attorneys & In-House Staff and Systems: Vital Outside Relationships and Inside Muscle to Support the Small Law Firm Practitioner” New York City Bar Association Seminar, Practice Management Issues for the Solo/Small Law Firm Practitioner (October 2018)
  • Moderator: PIABA Annual Meeting: Securities Law Seminar: “Challenges Facing Female Claimants’ Attorneys in FINRA Arbitration,” Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2018)

Past Speaking Engagements

  • Panelist - New York City Bar Association, Securities Arbitration and Mediation: Hot Topics (2018)
  • “Women in Litigation”, American Bar Association (November 2017)
  • Panelist- "Ethics and Expungement", New York State Bar Association, Continuing Legal Education (April 2017).
  • Panelist- “Practicum on Experts and Closings”, Securities Arbitration: 2016. Practising Law Institute (September 2016).
  • “The FINRA Resolution Taskforce Report After Seven Months: Where Are We Now and Where Are We Going?” Securities Experts Roundtable Annual Meeting, The Union Club (July 2016).
  • Presenter - “The Graying of America- Suitability and Supervision for Senior Investors.” Securities Expert Roundtable Annual Meeting, The Union Club (July 2016).
  • NYS Bar Association Securities Law Seminar. (2015)
  • Securities Arbitration 2015: Recommendation On Improvement and Other Tips On Technique, New York State Bar Association (November 2015)
  • Moderator- “The Ethics of Representing Clients in Unique Situations,” Public Investors Arbitration Bar Association, 25th Annual Meeting (October 2016)
  • Moderator- "Arbitration Pleading and Practice: Every Case It's Own Way" Public Investors Arbitration Bar Association, 24th Annual Meeting (October 2015).”
  • Speaker- “Arbitration Practicum Examination of the Broker in Product Cases”, Practising Law Institute, Securities Arbitration 2015 (July 2015).
  • Speaker - New York City Bar Association: 3rd Annual White Collar Crime Institute, speaking on Whistleblowers, Monday, May 19, 2014
  • New York County Lawyers Association: Hot Topics In Arbitration. (June 2014)
  • “Recent and Upcoming Rule Changes: Arbitrator Classification, Panel Composition, and Referrals for Disciplinary Action”, Practising Law Institute, Securities Arbitration Program (July 31, 2014)
  • PIABA Annual Meeting Seminar. (October 2014)
  • “Claimants’ Attorney in Mock Arbitration”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2013).
  • Speaker - “Arbitration Practicum on Prehearing Matters” and “Securities Arbitration: Recent Developments in the Law and Future Trends”, Practising Law Institute, Securities Arbitration 2012 (August 2012).
  • Moderator: “Arbitration Pleading & Practice: Every Case Its Own Way – The Malecki Example: “Affinity Fraud, Non-Securities Related Notes & the Pure Failure to Supervise a Branch”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2011).
  • Panel Speaker: Reg. D and Private Placements - “The Tale of Two Private Placement Arbitrations: ‘Oh, What a Difference a Panel Can Make’”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2010).
  • “Developments in the FINRA Arbitration Discovery Process”, Practising Law Institute, Securities Arbitration 2010 (August 2010).
  • Speaker – Practising Law Institute (June 2010).
  • Panelist – “Pleading Arbitration Claims and Defenses”, Securities Arbitration and Mediation 2007, New York State Bar Association, Continuing Legal Education (November 2007).
  • Moderator - Northeast Regional Panel, Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2007).
  • Industry Expert – “Integrating Compliance and Security Management Procedures into Your Financial Call Center Process to Avoid Litigations” and “Innovative Strategies to Optimize Quality and Reduce Risk,” Call Center Management for Financial Services, Chicago, Illinois (October 22, 2007)
  • Panelist - "What Documents to Take to Every Hearing," Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2006).
  • Panelist – New York State Bar Association, Committee on Women in the Law (April 5, 2006).
  • "How to Start Your Own Law Practice or Law-Related Business," NYS Bar Association, Committee on Women in the Law (June 2005).
  • "Knowing What to Look For: Getting the Documents that Can Win Your Case," Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2004).
  • “A Primer for the Practitioner,” New York State Bar Association’s Securities Arbitration 2004
Articles For Bar Association Seminars

PUBLISHED / TO BE PUBLISHED

PAST EMPLOYMENT

  • Singer Frumento, LLP.: 1994-1998 -- Senior Associate
  • Sirota & Sirota, LLP: 1992-1994 -- Associate
  • Ezra & Howe, LLP: 1991-1992 -- Junior Associate
  • Clerkship, Hon. James C. Francis IV, Magistrate Judge: 1990-1991, U.S. District Court, Southern District of New York, Student Clerk
  • Ernst & Young: 1990-1991, Student and Summer Associate
  • Curtis Mallet Prevost Colt & Mosle, LLP: 1986-1990, Student Clerk

GOVERNMENT WORK

City of New York: 1999 -- Corporation Counsel: Police Misconduct Cases.

Unafraid of controversial situations, in 1999, amidst great criticism of the New York City Police Department, spent three months working with the City of New York and its police officers in an attempt to deal with litigation and publicity issues relating to the highly publicized police misconduct cases.

NOTABLE CASES AT PREVIOUS EMPLOYMENT:

  • In re Crazy Eddie Securities Litigation
  • Duzenbury v. City of New York, (police brutality case).
  • In re Moe Rimson & Co.
  • In re G.K. Scott.
  • In re Salomon Brothers Treasury Litigation.
  • In re Gitano.
  • In re Homeowners Bank Securities Litigation.
  • In re Checkers Securities Litigation.
  • In re Cedar Hill Cemetery Litigation.

IN THE NEWS

Ms. Malecki appeared on CNBC's American Greed report titled "The Greed Report: Tempted by the real estate market? Investor beware!" in Feb 2017. She was quoted in the New York Times article "Think Your Retirement Plan Is Bad? Talk to a Teacher" in Oct 2016.

For a list of Ms. Malecki’s media appearances on Bloomberg, Fox News, and others please visit “Media” page.

Read about Ms. Malecki’s unique career achievements in Law Crossing.

VOLUNTEER WORK AND INTERESTS

Ms. Malecki has volunteered with the Legal Aid Society and the New York City Board of Education. Ms. Malecki has acted, written and directed for Off-Broadway, Off-Off-Broadway and Community Theatre for over 30 years. She has supported the Labyrinth Theater Company with esteemed company members such as the late Philip Seymour Hoffman, John Ortiz, Eric Bogosian, Stephen Adly Guirgis, John Patrick Shanley (“Doubt”), Sam Rockwell, David Zayas and others. She has appeared in internationally recognized award-winning short and independent films and acted as lead vocals in live and recorded performances of All Too Human, a lyric band. In addition, Ms. Malecki has written, directed and produced short films and short plays that have been featured in festivals around New York City.

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

Client Reviews
★★★★★
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
★★★★★
Jenice is truly a rock star! My wife and I contacted her to help with a quick-turn-around closing on our apartment. Fast, friendly, and fabulously informed about the process and what we'd need to stay on track to close on time, Jenice never skipped a beat. She's a dedicated attorney that goes above and beyond for her clients. Honestly, what more could you ask for? Jerry Dugan
★★★★★
Bob was a pleasure to work with. My case was unusually long and they handled every step of the way well and kept me constantly informed of all updates. The outcome was successful thanks to Malecki Law's great customer care and knowledge/experience. Flavia V.