- Discussion for Investors
- Investor Arbitrations
- Causes of Action
- Common Law Fraud (Scams) & Misrepresentations and Omissions under Federal Securities Laws
- Unsuitability and Regulation Best Interest
- Affinity Fraud
- Elder Fraud
- Ponzi Schemes
- Churning / Overtrading
- Unauthorized Trading
- New Products, Defective Securities Products and Structured Products
- Sales Practice Violations
- Breach of Fiduciary Duty
- Private Placements, “Hedge Funds,” Limited Partnership Issues & Other Non-Conventional Investments
- Margin Violations
- Failures to Execute
- Failure to Supervise
- Breach of Contract
- Conversion and Theft
- Market Manipulation
- Variable Annuities
- More on Investor Fraud and Securities Law
- Discussion for Industry Participants
- Securities Employment & Industry Disputes
- Wells Notice
- Governmental, Regulatory and Self-Regulatory Proceedings
- Audits & Regulatory Investigations
- Dodd-Frank Whistleblowers
“Securities law” is the area of law that addresses issues related to the issuance, sale, and transfer of stocks, bonds, shares of mutual funds, options, futures, partnership units, and other investment devices that can be bought and sold. The goal of securities law – and that of Malecki Law's New York securities arbitration attorneys and investment fraud lawyers - is to help investors who have been harmed by fraudulent and negligent practices, as well as to ensure that investors are provided with the information they will need in order to make knowledgeable decisions about their investments and rights.
In the U.S., securities law includes federal laws, state laws, and regulations implemented by both state and federal regulatory agencies. The federal regulatory agency entrusted to develop nation-wide regulations and enforce federal laws is the Securities and Exchange Commission; in addition, each state has its own version of the SEC, and the securities industry has developed its own self-regulatory body—the Financial Industry Regulatory Authority.
Individuals and companies that have been harmed by unlawful securities transactions can take action to pursue their rights under federal and state securities laws. They may also seek compensation under various common law theories, such as negligence, fraud, misrepresentation, or breach of contract.
The New York securities arbitration lawyers at Malecki Law have significant experience in representing both individual investors and industry participants, on both the plaintiff and defendant side. In civil law as well as administrative contexts, Malecki Law attorneys have handled a wide variety of security law matters, including
- Securities Fraud Litigation
- Arbitrations and Mediation
- Audits and Investigations
- Complaints to Governmental, Regulatory, and Self-Regulatory Bodies.
New York securities law attorney Jenice Malecki has successfully represented investors in cases involving claims such as:
- Unsuitability (when a broker recommends investments that are not suitable for the particular investor, given the investor’s age, income, and objectives)
- Churning / overtrading (when a broker trades an account too frequently, usually for his or her own profit)
- Defective Securities Products, Private Placements, Hedge Funds, Private Equity Funds and Investment Advisor Relationships (often proprietary products created by a broker dealer, REITs, TICs, and the like)
- Conversion / theft (when a broker wrongfully takes an investor’s money or transfers funds to an account outside the investor’s control)
- Misrepresentation and omissions (when a broker lies to an investor or fails to disclose key facts, rendering the balance of the information provided untrue)
- Unauthorized trading (when a broker trades an account without asking the owner’s permission)
- Market manipulation (when brokers, traders, and/or analysts create a fictitious market environment to suit only their own profit objectives)
- Insider trading (when a broker alleges to have or uses information that is not publicly available)
- Failure to supervise (when a brokerage firm's senior personnel fail to review their brokers' work)
- Breach of contract (when a brokerage firm fails to live up to agreements with the investor regarding the handling of his/her account)
- Breach of fiduciary duty (when a broker fails to handle an investment with the high degree of care that investors are entitled to—for example by recommending junk bonds).
Ms. Malecki and her team of investment fraud lawyers have also successfully defended industry participants and work with such clients to devise strategies that will reduce their exposure to litigation and disputes. She represents industry participants in litigation, arbitration, and regulatory matters (including membership proceedings and actions) and provides such clients with a variety of services related to daily operations and compliance.
The New York securities arbitration attorneys of Malecki Law assist industry professionals who aim to partner with regulators and foster a better market—to the benefit of all involved. Ms. Malecki is on FINRA’s National Arbitration and Mediation Committee (NAMC), advising its Board. She is a member of and has been on the Board of Directors (and an Officer of) the Public Investors Arbitration Association (PIABA). She has also been a FINRA arbitrator and Chairperson.