Item: Malecki Law
Rating: 5
Author: Mario

Being a Whistleblower

What Is a Whistleblower, Generally?
What Is a Whistleblower in the Securities Industry?
Should I Submit a tip to the SEC or FINRA?
Where Can I Submit a Tip Through FINRA?
Where Can I Submit a tip Through the SEC?
How Can I be Proactive in Preventing Corruption?

What Is a Whistleblower, Generally?

A whistleblower is a person who is aware of misconduct and/or illegal activity and reports it to the correct sources, such as regulatory bodies.

What Is a Whistleblower in the Securities Industry?

Whistleblowers are an essential part of enforcement in the securities industry, such as SEC actions. Many times, whistleblowers, employees, and/or investors are the only way that regulatory agencies such as the SEC, FINRA, the DOJ, and OIG find out that any misconduct is occurring.

Should I Submit a tip to the SEC or FINRA?

In considering whether to submit a tip to the SEC or FINRA, informants must consider how important anonymity is and if they need to hire a lawyer. The SEC Office of the Whistleblower is a great resource for those who do not have counsel to identify whether they have a claim and get help finding representation.

FINRA’s website also allows anonymous tips but cannot guarantee anonymity. Whereas the SEC has strict guidelines regarding anonymity but does not allow an informant to submit anonymously without counsel. In comparing the submission process, the FINRA website provides a simple medium for individuals without counsel to fill out but may require some follow-up, whereas the SEC website asks for most of the information upfront. In either case, it is always best to have a lawyer assist you, especially if you are considering a private action. You would not want to prejudice your civil case for damages.

Where Can I Submit a Tip Through FINRA?

https://www.finra.org/contact-finra/file-tip

Where Can I Submit a tip Through the SEC?

https://www.sec.gov/whistleblower/submit-a-tip

How Can I be Proactive in Preventing Corruption?

As an investor, it is important to be active and strategic about which investment firms/companies you allow to manage your money. To be proactive in preventing the necessity of whistleblowing in the first place, one should think about the size, region, and sector of companies they interact with. Investors should look out for red flags throughout the relationship with their broker and also consider company policy, mission statement, and commitment to integrity when choosing a company to invest with. Investors should also consult knowledgeable securities law attorneys if “something doesn’t feel right” and get a free consultation from Malecki Law.

★★★★★

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

Jenice was also special in giving us all the personal attention we needed, plus the tireless support of her crack team, over the course of ~18 mos. She talked us through every step of the way, and was open to discussing specific negotiation tactics, not glossing over anything. Dave Bliss

I recently worked with Jenice to negotiate a business buyout, and I couldn't be more pleased with the experience. From the start, Jenice was incredibly helpful and deeply invested in achieving the best possible outcome for me. Her expertise and dedication were evident in every step of the process. David

I can’t say enough about Jenice and her team- they set the standard. As an Army veteran, I deeply respect the values they reinforce while operating at a level of tenacity that is unmatched. They handled the entire process with empathy and kindness- yet were firm and honest regarding expectations and outcomes. Communication was clear and swift. Their breadth of knowledge and experience provided comfort during a stressful time and was impressive to watch unfold. I’m very happy with the outcome. Thank you Jenice and team for making giants seem extremely small. Sharron Todd

My experience with jenice was incredible. You want a lawyer who is advocate for you and fights for you with passion. She came along a time in my life that I needed an advocate who truly cared about me and my case. Highly recommend. Pat Brown

I had the privilege of working with Malecki Law, and I must say it was an outstanding experience. Jenice, Jacqueline, and Adam consistently demonstrated remarkable responsiveness, offering excellent advice that reflects their diligence and precision. Their bold and intelligent approach, combined with an excellent attitude, truly sets them apart. I highly recommend Malecki Law to anyone seeking top-notch legal assistance. Mohsen Chitsaz

Jenice Malecki, is one of the most helpful individuals Ive had the pleasure of speaking with. She is super knowledgeable. She helped me navigate the ever changing world of securities law. You will find her understanding of complex matters helpful and insightful. She is straightforward and candid. She makes your options easy to understand. I would recommend her without any hesitation. 10/5 stars! Enrique Tiburcio

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