Recognized in the Industry
Badge - AV Preeminent 2020
Badge - Best Attorneys of America
Super Lawyers
Badge - Badge - Avvo Rating 10.0 Top Attorney
Martindale-Hubbell Client Reviewed
Expertise - Best Employment Lawyers in New York City
Avvo Reviews
NYC Bar Association

What Is a Wells Notice, and What Is the Significance of Receiving One? - Transcript

Notice from the SEC is an opportunity for someone who has been investigated to learn what the charges are that will be filed against them and to confront those charges and try to convince the SEC not to bring those charges most lawyers will tell you don’t file a Wells notice and that’s because if you do wind up in a litigated proceeding with the SEC and you say something in your wells notice opposition statement that is incorrect they may try to use it against you at the hearing in the matter however I say it’s a case-by-case basis for you to file a Wells notice we have successfully filed wealth notices where the SEC has decided not to pursue our clients I never say one size fits all to clients and I think you should be aware whenever a lawyer is telling you one size fits all you need to look at whether you have definitive evidence to oppose the potential charges or a situation where the litigation will be so messy for the SEC that they don’t want to pursue it the wells notice is really an opportunity for you to do two things one is convince them not to to pursue you or two to convince them to settle with you you can point out how stringent some of the standards are and you’re going to hold the SEC to those standards and that they don’t have the evidence they need Wells notices should proceed on a case-by-case basis.

Attorney Advertisement. Prior results do not guarantee a similar outcome.

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