Registered Representative Radar

Financial services employees need their own New York securities regulatory attorney to navigate employment laws, particularly when they have a license or important title. To successfully navigate the vast, complex securities laws and FINRA rules within the highly regulated financial services industry, it is important not to be penny wise/pound foolish with your career. For certain, the brokerage firms are well-represented by experienced securities lawyers protecting their interests, so representing yourself is not a truly viable option.

Whether you need help with transitioning to a new broker-dealer or protection from your current employer, our securities employment lawyers have your back. Malecki Law’s extensive record of securing better severance packages, favorable awards, and better Form U5 language on behalf of our securities employees including successful regulatory investigation defense, numerous expungements, negotiated settlements, and more. From 8210 Requests, SEC Subpoenas, and on-the-record interviews (a critical stage in the process for which a client needs to be prepared) to favorably negotiated settlements in cooperation with the regulatory body at issue, Malecki Law has got your back. We have successfully represented professionals, as well as fully litigated hearings and whistleblowing cases, each case takes its own course according to the clients’ needs and budget. Fortunately, financial professionals can resolve and rise out of adverse predicaments with the experienced guidance and advocacy of a good securities employment and regulatory lawyer. Many industry professionals keep Malecki Law on retainer to advise them as situations arise that need immediate attention.