Registered Representative Radar

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.

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.

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 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.

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.

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.