Securities Industry Participants

Given the markets we have seen in recent times and the tremendous destruction of investor confidence, as an industry participant, it is important to communicate properly with customers, supervisors, employees and regulators. Because markets and workplaces are becoming increasingly complex, continuing education is required every day. Do not make mistakes that can be avoided. A knowledgeable securities industry attorney can help securities industry participants handle a variety of situations properly from the beginning, with counsel from an attorney knowledgeable with FINRA rules and guidelines. The attorneys of Malecki Law are skilled and committed to delivering effective and efficient services and strategies of the highest quality to its clients, as well as conveying the whole picture to regulators, helping them see the “forest for the trees”.

Malecki Law's securities industry lawyers believe in honest reporting and encourage cooperation with regulators. Ms. Malecki has an over 20 year history of excellent rapport with regulatory (SEC) and self-regulatory (FINRA) bodies. From on-the-record interviews (a critical stage in the process for which a client needs to be prepared) to favorably negotiated settlement in cooperation with the regulatory body at issue, as well as fully litigated hearings and whistle blowing cases, each case takes its own course according to the clients’ needs and abilities.

New laws, regulations and interpretations help whistleblowers and cooperators come forth, allowing them reassurances against losing their job for refusing to violate industry laws and incentives to advise and cooperate in regulatory and self-regulatory investigations.

The securities attorneys at New York's Malecki Law have a desire to assist industry professionals in coming to terms with issues that have developed and find appropriate solutions that help them in partnering with regulators and fostering a better market with a long term view. Representation is available in these areas :

  • Employment Issues & Disputes
  • Litigation, Arbitration & Regulatory Matters
  • Daily Operations & Compliance
  • Membership Proceedings & Audits
Employment Issues & Disputes

The New York FINRA attorneys of this law office will counsel clients in various securities industry employment issues to avoid litigation or to institute actions on behalf of former employees, including, but not limited to, representation in:

  • Dodd-Frank Whistleblower Cases
  • Sarbanes-Oxley Whistleblower cases
  • Cooperation in Criminal, Civil, Regulatory and Self-Regulatory Matters
  • Wrongful Termination
  • Constructive Discharge
  • Discrimination and/or Harassment,(including gender, race or religion)
  • Promissory Note Defense, (sign-on bonuses and others)
  • Compensation, Bonus and Commission Claims
  • Employment Contract Negotiation
  • Severance Package Termination Agreements
  • Reporting Requirements for Forms U-4, U-5, & DRPs
  • Defamation
  • Drafting & Negotiation of Employment Agreements & Policies
Litigation, Arbitration & Regulatory Matters

Our New York securities industry attorneys will provide representation to a variety of industry participants in employment, securities intra-industry and regulatory matters, including, but not limited to:

  • Investment Professionals and Advisors
  • Traders, Specialists and Floor Brokers
  • Structured Finance Professionals
  • Institutional and Foreign Investors
  • Banking and Brokerage Firms
  • Hedge Funds
  • Municipal Bond Firms
  • Commodities Firms
Daily Operations & Compliance

Our lawyers will represent brokerage firms, traders, specialists and registered persons regarding:

  • Day-to-Day Compliance
  • Transactional Issues
  • Operational Issues
  • Supervisory Issues
  • Employment Issues
  • Legal & Regulatory Developments
  • Supervisory Procedures and Compliance Manuals
  • Representative Training
  • Anti-Money Laundering Plans
  • FINRA Application, Amendment, and Continuation Issues
  • FINRA Web Applications
  • SRO Examination
  • Corporate Formation and Governance
  • Reporting Requirements, including, but not limited to, Trade Reporting
  • Rules, Forms U-4, U-5, and Disclosure Reporting Pages (DRPs)
Membership Proceedings & Audits

Our New York securities law attorneys will assist clients throughout various administrative proceedings and regulatory filings, including:

  • Self-Regulatory Organization Membership Applications
  • Membership Renewals
  • Membership & Registration Continuation Proceedings
  • Restriction Agreement Amendments
  • Regulatory Investigations, Exams & Audits
SRO Examination Preparation

Malecki Law reviews relevant books and records, examines key business practices, suggests improvements to procedures and practices, informs senior management of audit requirements, implements accepted recommendations, and organizes physical books & records and related files.

Corporate Formation and Governance

Malecki Law forms corporations and limited liability companies, drafts governing documents, handles contractual matters, such as purchase and sale agreements, employment agreements, and commercial lease negotiations.

Malecki Law does not accept work where a non-institutional public investor is the opposing party.


Significant Securities Industry Employment Cases
  • Secured a $2 Million settlement in municipal securities industry compensation and sexual harassment claim in Federal Court Southern District New York
  • Secured $500,000 in settlement for a Sarbanes Oxley Analyst Whistleblower Employee
  • Complete expungement for a broker against a major investment bank, including the amount of attorney fees in FINRA arbitration
  • Represented Series 7 broker in FINRA arbitration and Form U5 issues relating to conduct by his partner, outside the scope of employment, where he was improperly named, i.e., the wrong broker was sued
  • Investment banker and several board of directors working abroad in suit against major international wirehouse for unjust enrichment, breach of contract, false statements on Form U5 and failure to reimburse expenses in FINRA arbitration
  • Compliance director against brokerage firm relating to employment and whistleblowing dispute
  • Investment banker in structured and corporate finance agreement
  • Major US brokerage firm for dispute over corporate referral compensation and bonuses
  • Two groups of brokers in FINRA arbitrations over allegations of fraud against UBS PR for the firm's failure to disclose the true nature of PR Closed Ended Bond Funds and related issues for compensatory damages and Form U5 expungement in FINRA arbitration
  • Independent platform registered representative against independent platform brokerage firm for mismarking his Form U5 and theft of client base in FINRA arbitration
  • Series 24 supervisor against major wire house for disability discrimination and other related claims in a FINRA arbitration

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