About Malecki Law - Transcript

Malecki Law is a boutique securities litigation firm that stands apart from the rest. Unlike many firms that limit their practice to representing either investors or industry professionals, Malecki Law provides comprehensive representation for both. Whether you are a public investor who has suffered financial losses, a financial professional facing regulatory scrutiny, or an individual subpoenaed by the SEC, our firm has the experience and resources to protect your rights.

Malecki Law is not just another securities firm—it is a firm deeply rooted in the financial world. Located just one block from Wall Street, our attorneys have spent decades working at the heart of the financial industry. Founding partner Jenice L. Malecki has been practicing in the Wall Street area for over 30 years, and Malecki Law has been serving clients for more than 25 years from the same prime location near the iconic Charging Bull statue.

This proximity is not just symbolic. It means our firm understands the financial industry inside and out. We are in constant dialogue with industry players, regulators, and legal professionals who shape the securities landscape. Our deep connections and extensive experience give us a strategic advantage in handling even the most complex securities disputes.

Malecki Law’s practice is built on a unique dual representation model. Many firms focus solely on investor claims or industry defense. We do both.

• For Investors: We represent individuals and institutions in arbitrations against brokerage firms for misconduct such as failure to supervise, fraud, breach of fiduciary duty, violations of Regulation Best Interest, and unsuitable investment recommendations. Our attorneys fight to recover lost investments and hold financial firms accountable.
• For Industry Professionals: We defend financial professionals in internal investigations, employment disputes, and regulatory enforcement actions by the SEC, FINRA, and state securities agencies. We also assist with employment transitions, promissory notes, and industry-related litigation.

Our ability to see cases from both perspectives gives us a significant edge. We know the tactics brokerage firms use to defend against investor claims because we also represent professionals on the other side. This knowledge allows us to anticipate opposing arguments and build stronger cases for our clients.

Malecki Law is not a volume-based practice. We do not take on cases just to settle them quickly. Every case we handle is carefully selected and given the attention it deserves. If we take your case, it is because we believe in it.

Unlike firms that focus on quick settlements, we prepare every case as if it is going to arbitration or trial. Our attorneys conduct detailed investigations, gather strong evidence, and build persuasive legal arguments. This approach ensures that our clients are in the strongest possible position—whether they are negotiating a settlement or pursuing litigation.

Malecki Law handles a wide range of securities-related cases, including:

• Federal and State Securities Litigation: We represent clients in commercial and securities disputes in court, often involving issues related to financial fraud, investment losses, and breaches of fiduciary duty.
• FINRA and AAA Arbitrations: We represent both investors and industry professionals in arbitration proceedings before FINRA and the American Arbitration Association (AAA).
• Internal Investigations: We assist financial professionals facing internal investigations by their brokerage firms, ensuring they are treated fairly, and their rights are protected.
• SEC, FINRA, and State Securities Investigations: We defend individuals and financial professionals in regulatory investigations, including those that involve parallel civil and criminal proceedings.

Securities law is highly complex, with multiple regulatory agencies, overlapping rules, and significant legal consequences. Malecki Law has the knowledge and experience to navigate these challenges and provide strategic, results-driven representation.

When your financial future is at stake, you need a law firm that truly understands the securities industry. Malecki Law is that firm. With decades of experience, a Wall Street presence, and a track record of success, we are the trusted advocates you need in your corner.

If you need legal assistance with a securities dispute, regulatory investigation, or employment issue in the financial industry, contact Malecki Law at (212) 943-1233 or email jenice@maleckilaw.com for a confidential consultation.

Transcript:

What makes Malecki Law different from other Securities industry law firms is we represent both public investors and Industry professionals, as well as actually common people that get subpoenas from the SEC because anyone can get a subpoena from the SEC and whistleblowers and anybody could be a whistleblower. Many firms only represent one side or one type and we are really a true Securities industry Boutique Law Firm.

We are the real deal, we are one block away from Wall Street and I’ve been working down here in Wall Street area for over 30 years and Malecki Law has been in business for 20 years, and essentially the same location uh right at the at the uh the bull on Wall Street

The good thing about representing both sides is we represent public investors in arbitrations really primarily against broker dealers

Now there’s a broker involved but generally you’re suing the broker dealer for failure to supervise there’s an adage. That firms treat their employees worse than they treat their investors and so we represent Financial professionals both in internal investigations at broker dealers because they should broker dealers have lawyers, they should get lawyers right away

we also represent them in employment disputes in outside investigations by the SEC in FINRA and we represent them in employment disputes and transitions from broker dealer to broker-deal. Are all very complicated because of the complex regulations and the Securities business

so you know we know the soft spots for brokerage firms because we represent investors, we represent industry professionals and we deal with Regulators all the time.

We’re not ambulance Chasers, we’re the real deal. We’re Wall Street lawyers we don’t take cases on a volume basis to settle them quickly, every case is important to us and we take high quality cases. If we take your case it means it’s probably pretty good.

Malecki Law handles an interesting mix of cases that really keeps us at the top of our game: we do federal uh and State Commercial, and securities litigation in court. In commercial cases usually involve something to do with securities. We represent public investors in FINRA and AAA, which is the American Arbitration Association arbitrations. We represent industry Professionals in internal investigations, in employment disputes that happen at FINRA arbitration.

We assist industry professionals and ordinary citizens that get embroiled in SEC investigations FINRA investigations and state Securities investigations.

All that can be parallel proceedings at the same time, both civilly and criminally. So you know we help a wide range of clients.