Item: Malecki Law
Rating: 5
Author: Mario

Frequently Asked Questions

Highly Experienced Securities Lawyers Representing Investors and Industry Professionals Across the Country

Securities law is one of the most complex and high-stakes areas of financial regulation. Whether you are an investor who has suffered financial losses or an industry professional facing an investigation, it is critical to understand your rights, obligations, and potential legal options. Malecki Law is a nationally recognized securities law firm dedicated to representing investors and financial professionals in arbitrations, regulatory proceedings, and civil litigation. Our experienced attorneys have successfully handled cases involving financial fraud, employment disputes, regulatory enforcement, and high-profile securities litigation.

We understand that legal issues in the securities industry can be overwhelming. The financial markets are governed by strict regulations enforced by agencies such as FINRA, the SEC, state regulators, and other oversight bodies. Violations of these regulations can lead to severe consequences, including financial penalties, loss of licensure, and irreparable damage to your reputation. Investors, on the other hand, may suffer devastating financial losses due to broker misconduct, fraud, unsuitable investments, or other forms of financial abuse.

Below, we provide a list of frequently asked questions about securities law matters. If you have concerns regarding investment losses, regulatory investigations, or industry disputes, it is imperative to speak with an experienced securities attorney. Malecki Law offers personalized legal strategies to help clients fight for justice, recover financial losses, and protect their professional standing.

Investor FAQs

Why Investors Need a Securities Lawyer

Financial fraud and broker misconduct can leave investors with devastating losses, but proving wrongdoing and recovering funds can be legally complex. Securities cases often require a deep understanding of regulatory rules, industry standards, and arbitration procedures. FINRA and SEC rules impose strict guidelines on brokerage firms and financial professionals, but successfully navigating these rules without legal counsel can be overwhelming.

At Malecki Law, we fight aggressively for investors who have suffered losses due to fraud, misrepresentation, and violations of FINRA conduct rules. We have secured millions in recoveries for victims of Ponzi schemes, unauthorized trading, unsuitable investment recommendations, and other fraudulent practices.

If you believe you have been defrauded or suffered investment losses, contact our firm for a consultation to assess your case and discuss legal options for recovery.

Industry FAQs

Why Securities Professionals Need Legal Representation

Financial professionals work in one of the most heavily regulated industries, where compliance failures, regulatory investigations, and employment disputes can threaten their licenses, careers, and reputations. FINRA, the SEC, and state regulators conduct routine audits, issue subpoenas, and initiate enforcement actions that can lead to fines, suspensions, or permanent bars from the industry.

Additionally, many brokers and advisors face employment disputes when changing firms, handling forgivable loans or upfront bonuses, or dealing with termination and U5 language disputes. Without skilled legal counsel, they risk losing financial benefits, damaging their professional records, or facing legal action from former employers.

At Malecki Law, we provide strategic legal representation for industry professionals facing regulatory scrutiny, employment disputes, and arbitration cases. We have successfully defended professionals in FINRA 8210 requests, SEC subpoenas, state regulatory investigations, and Wells Notice proceedings.

If you are under investigation or need guidance on an employment matter, Malecki Law can provide the experienced legal advocacy necessary to protect your career and future.

Speak With a Securities Attorney Today

Whether you are an investor seeking to recover losses or a financial professional facing a regulatory or employment issue, the legal team at Malecki Law is here to help. Securities cases are high-stakes matters that require aggressive, knowledgeable representation. Our firm has decades of experience navigating FINRA arbitration, SEC investigations, and securities litigation.

Call Malecki Law at (212) 943-1233 or email jenice@maleckilaw.com for a confidential consultation today.

★★★★★

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

I highly recommend Jenice and her team! They are extremely professional, organized, and kept me updated throughout the entire process. We went to arbitration and won! Jenice is outstanding and I am so grateful for her expertise. Chelsea Polhemus

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