Item: Malecki Law
Rating: 5
Author: Mario

What Is the Process for Responding to a FINRA or SEC Investigation? - Transcript

I could not be stringent enough to tell you that in responding to a finra 8210 request which is the start of Investigation or an SEC subpoena you must must must get experience counsel why there are so many Securities laws and there’s other laws too there’s the IRS the SEC if you get an SEC subpoena the SEC sees something that should have been reported to the IRS they’re going to report it to the IRS it’s it’s important to try to get a lawyer that can narrow the scope of the documents being produced that can make sure that in answering one question you’re not showing the violation of another issue and there’s just again lawyer speak versus layperson speak a Securities lawyer knows the way to deliver the information in the way that is best going to protect you I truly believe that unrepresented people do not get a fair Shake in these proceedings that I hate to say will be taken advantage of but I I do think that happens so it is really really really important to get counsel don’t be Pennywise and pound foolish this is is not a time to do that.

★★★★★

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

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