Securities Industry Participants We Serve
Malecki Law represents securities industry participants in both internal and external investigations. Our knowledgeable securities industry attorneys counsel different types of industry professionals, from institutions to individuals, on employment issues, investigations, and regulatory hearings. With an excellent rapport and insights into regulatory (SEC) and self-regulatory (FINRA) bodies, our attorneys have a reputation for favorably negotiating settlements for industry professionals in cooperation with these regulatory bodies. Above all, our securities lawyers believe in honest reporting and delivering favorable resolutions in the interest of brokers, traders, analysts, and whistleblowers we serve.
Here is a list of industry professionals we represent:
Institutional/ Individual Brokers — Brokers are regulated professional individuals, either associated with an institution (brokerage or broker-dealer) or acting as individuals, selling stocks and other securities for investors, in return for a fee or commission. In the U.S. a stock broker should have passed a series of exams (Series 7, Series 63, Series 66) to register and are regulated by FINRA.
Malecki Law represents brokers during agency (SEC/FINRA) and internal audits and investigations. We assist our clients throughout various administrative proceedings and regulatory filings, including responding to Regulatory Investigations, Exams & Audits, On-the-Record Interviews, Document and Information Requests, and Subpoenas. We also represent brokers during employment disputes involving unpaid promissory notes and termination U-4/U-5 form disputes. Under FINRA’s program, all disputes must be resolved only by arbitration administered by FINRA, the industry’s self-regulatory organization. However, as FINRA is funded mainly by Wall Street, the odds are stacked in favor of the brokerage firms, therefore, seasoned securities attorneys like ours are instrumental in securing favorable results for clients pursuant to industry codes.
Traders and Analysts - A trader is a person who executes trades for a bank, trading firm, or hedge fund. An analyst typically performs equity or fixed-income research based on the market and the company’s financials. Compensation usually has a commission component where they earn more money depending on the level of profits they generate for the firm. When they have disputes with their employers about unpaid bonuses, Malecki Law lawyers help them seek compensatory damages by filing FINRA arbitration claims.
Industry Professionals - We represent securities industry professionals across levels, from supervisors to entry-level, in above mentioned instances SEC, FINRA and employer investigations, OTRs and SEC/FINRA hearings, contract disputes, employment issues and involving forms U4/U5.
Instividuals - These are ultra high-networth individuals who look and behave like institutions in terms of wealth management. We represent them in AAA arbitration, JAMS, State and Federal Courts.
Whistleblowers - Anyone can be a whistleblower but the reality is that majority of them come from within the industry, being privy to useful inside information. Under Dodd-Frank reforms industry whistleblowers are both protected from retaliation by their employers and financially incentivized for bringing useful information about wrongdoings or suspicious activities to the SEC or even raising a flag internally within the organization. Our whistleblower attorneys help prepare your statement, and ensure that you are represented adequately when addressing the regulators. We also protect you from employer retaliation for whistleblowing.
The whistleblower attorneys at our firm have a substantial background advocating for clients in whistleblower litigation, including retaliation claims. Before the collapse of the housing market, in the wake of the Sarbanes-Oxley Act, and prior to and after the Dodd-Frank Act, Ms. Malecki represented multiple whistleblowers, including Arturo Cifuentes and Eric Kolchinsky amongst others. She currently represents a number of Dodd-Frank whistleblowers who tipped off the SEC with original information leading to and assisting large, currently active SEC investigations. This representation includes assistance in helping whistleblowers testify before Congress and in numerous regulatory, self-regulatory, litigated and arbitrated proceedings, both as litigants and witnesses.