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Registered Representative Radar

Dedicated Securities Lawyers Helping Financial Professionals Avoid Common Pitfalls During Transitions

Financial services professionals, including registered representatives, operate in a highly regulated industry with complex securities laws, FINRA rules, and employment regulations. If you hold a license or a critical title, you cannot afford to navigate these challenges alone. At Malecki Law, we represent financial professionals through employment disputes, regulatory issues, and career transitions, ensuring that your interests are protected.

Why Financial Professionals Need Their Own Securities Lawyer

The financial services industry is dominated by brokerage firms and institutions that are always well-represented by experienced securities attorneys. When disputes arise—whether it’s a termination, regulatory inquiry, or transition to a new firm—representing yourself is not a viable option. You may be facing attorneys whose sole focus is protecting the firm, not you. Attempting to handle these matters on your own can put your career, reputation, and livelihood at risk.

Employment disputes are particularly delicate in this industry. Terminations, disciplinary actions, or client disputes can lead to marks on your Form U5, which regulators and future employers scrutinize closely. A negative U5 can have far-reaching implications, hindering your ability to find new opportunities. Similarly, improper handling of client transitions can lead to allegations of misappropriation, unauthorized activity, or violations of non-compete clauses—all of which can trigger FINRA or SEC investigations.

At Malecki Law, we strongly believe that financial professionals should not be “penny wise and pound foolish” when it comes to protecting their careers. Our securities employment attorneys understand the intricacies of the industry and are ready to advocate on your behalf.

How Malecki Law Helps Securities Employees

Whether you are transitioning to a new broker-dealer, facing termination, or dealing with regulatory scrutiny, Malecki Law provides comprehensive legal support tailored to your situation. Our services include:

  • Transitioning Between Broker-Dealers: Moving to a new firm requires careful navigation of non-compete clauses, client transitions, and compliance manuals. We help ensure your transition is smooth and does not expose you to regulatory risks or legal disputes. Our team understands the need to protect your client relationships while complying with the applicable rules and regulations.
  • Termination and Form U5 Language: When a termination occurs, the language used on your Form U5 can have lasting consequences for your career. Firms often attempt to justify terminations by including vague or negative remarks that trigger further scrutiny. We work to secure more favorable U5 language and defend against unjust allegations that could tarnish your record.
  • Regulatory Defense: From responding to FINRA 8210 Requests and SEC subpoenas to preparing for on-the-record interviews, Malecki Law provides the critical representation you need at each stage of a regulatory investigation. Our attorneys have successfully negotiated settlements and resolved investigations in our clients’ favor, preventing damaging disciplinary outcomes.
  • Expungements and Whistleblower Cases: We have a proven track record of obtaining expungements for professionals facing unjust customer complaints or adverse disclosures. Expungement can be critical to protecting your reputation in the industry. Additionally, we represent whistleblowers seeking to expose wrongdoing within their firms while protecting their rights, privacy, and careers under federal and state whistleblower protections.
The Value of Proactive Legal Representation

The financial services industry operates at a fast pace, and employment disputes or regulatory inquiries can arise suddenly. By keeping Malecki Law on retainer, many industry professionals benefit from immediate access to experienced securities regulatory attorneys who can address urgent matters as they arise. Whether it’s reviewing an employment agreement, responding to a regulatory request, or advising on a sensitive situation, proactive legal representation is key to protecting your career.

For professionals anticipating a transition, Malecki Law provides preemptive guidance to mitigate risks. We review your employment agreements, identify potential pitfalls, and develop strategies to ensure compliance while safeguarding your interests. For those facing terminations, we act quickly to minimize damage, negotiate severance agreements, and challenge unfair accusations.

Real Solutions Tailored to Your Needs

Every case is unique, and at Malecki Law, we approach each client’s situation with individualized attention. Whether resolving matters through negotiations, regulatory cooperation, or fully litigating hearings, we prioritize your needs and budget to deliver the best possible outcome. Our experience includes securing favorable severance packages, regulatory defense victories, and whistleblower protections, empowering financial professionals to overcome challenges and move forward.

Our attorneys understand that the stakes are high. A single misstep in an employment transition, investigation, or termination can derail a successful career. By leveraging our extensive knowledge of securities law and industry practices, we provide targeted solutions that protect your reputation, your livelihood, and your future.

Protect Your Career With Malecki Law

In the competitive and highly regulated financial services industry, your career deserves strong, experienced advocacy. At Malecki Law, we have your back through transitions, investigations, terminations, and more. Contact us today at (212) 943-1233 or reach out online to schedule a consultation. Whether you need immediate assistance or ongoing support, Malecki Law is here to help you protect your future and rise above adversity.

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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
★★★★★
Jenice was also special in giving us all the personal attention we needed, plus the tireless support of her crack team, over the course of ~18 mos. She talked us through every step of the way, and was open to discussing specific negotiation tactics, not glossing over anything. Dave Bliss
★★★★★
I recently worked with Jenice to negotiate a business buyout, and I couldn't be more pleased with the experience. From the start, Jenice was incredibly helpful and deeply invested in achieving the best possible outcome for me. Her expertise and dedication were evident in every step of the process. David
★★★★★
I can’t say enough about Jenice and her team- they set the standard. As an Army veteran, I deeply respect the values they reinforce while operating at a level of tenacity that is unmatched. They handled the entire process with empathy and kindness- yet were firm and honest regarding expectations and outcomes. Communication was clear and swift. Their breadth of knowledge and experience provided comfort during a stressful time and was impressive to watch unfold. I’m very happy with the outcome. Thank you Jenice and team for making giants seem extremely small. Sharron Todd
★★★★★
My experience with jenice was incredible. You want a lawyer who is advocate for you and fights for you with passion. She came along a time in my life that I needed an advocate who truly cared about me and my case. Highly recommend. Pat Brown
★★★★★
I had the privilege of working with Malecki Law, and I must say it was an outstanding experience. Jenice, Jacqueline, and Adam consistently demonstrated remarkable responsiveness, offering excellent advice that reflects their diligence and precision. Their bold and intelligent approach, combined with an excellent attitude, truly sets them apart. I highly recommend Malecki Law to anyone seeking top-notch legal assistance. Mohsen Chitsaz
★★★★★
Jenice Malecki, is one of the most helpful individuals Ive had the pleasure of speaking with. She is super knowledgeable. She helped me navigate the ever changing world of securities law. You will find her understanding of complex matters helpful and insightful. She is straightforward and candid. She makes your options easy to understand. I would recommend her without any hesitation. 10/5 stars! Enrique Tiburcio
★★★★★
I highly recommend Jenice and her team! They are extremely professional, organized, and kept me updated throughout the entire process. We went to arbitration and won! Jenice is outstanding and I am so grateful for her expertise. Chelsea Polhemus