Jenice L. Malecki

From Jenice's interview for the Masters of the Courtroom series on ReelLawyers.com.
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JENICE L. MALECKI, ESQ. is a well-known securities attorney with a uniquely diverse background and over 30 years of experience representing a wide range of clients in securities and commercial arbitration, litigation, and regulatory matters, from investors to industry professionals. She has successfully recovered tens of millions of dollars in securities related settlements and awards for her clients. As an aggressive litigator, her unique background enables her to see both sides of the dispute and anticipate the opposition. In her over thirty years of experience, Ms. Malecki has handled thousands of investor, intra-industry and employment matters, arbitrations, litigation proceedings and appeals, contested governmental, regulatory, and self-regulatory investigations and hearings, as well as mediations, settlements, Acceptance, Waiver and Consent Orders (“AWC”s) and whistleblower complaints. She has also represented investor and industry witnesses and cooperators before various governmental, regulatory and self-regulatory bodies in hearings and settlements. Ms. Malecki has represented clients with matters emanating from all around the United States, many Western European countries (England, Italy, Luxembourg, Spain, Monaco, Malta, and others), India, Hong Kong, China, Singapore, Israel, Puerto Rico, Africa and in several South American countries.

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Ms. Malecki has extensive experience in FINRA arbitrations from representing claimants and respondents to serving as an arbitrator and chairperson. She is also a trained mediator and has been qualified as an Expert Witness by FINRA arbitrators. Ms. Malecki has been a member of FINRA’s National Arbitration and Mediation Committee (NAMC), which advises FINRA’s Board of Directors. Ms. Malecki is a seasoned authority on New York securities law, frequently filing official comments for consideration on new securities-related rules and laws. In 2014, 2015, and 2019, she visited Senators and House of Representatives members’ offices to garner support for various legislation meant to protect investors. Ms. Malecki has advocated for the Investor Choice Act of 2013 on the floor of the House of Representatives, a fund for unpaid arbitration awards, and legislation similar to the Department of Labor’s “Fiduciary Rule” at the Senate.

Ms. Malecki is currently Chair of the New York State Bar Association’s Commercial & Federal Litigation Section’s Securities Arbitration Committee and has been an Adjunct Professor at New York Law School’s Securities Arbitration Seminar and Field Placement. Ms. Malecki is a founding member of the Financial Professionals Coalition. Ms. Malecki was a Vice President on the Board of Directors of the PIABA Foundation, an investor educational non-profit group with a mission to educate investors and provide the public with information about abuses in the financial services industry and the securities dispute resolution process. Ms. Malecki is a member of and has been on the Board of Directors (and an Officer of) the Public Investors Arbitration Bar Association (PIABA), the Securities and Exchanges Committee (SEC) at the New York City Bar Association and the New York State Bar Association. She has spoken many times at the Practising Law Institute (PLI), the New York City Bar Association, New York County Lawyers Association, Columbia Law School, Fordham Law School, Brooklyn Law School, St. John's Law School, New York Law School, and PIABA's annual year-end conference. She has participated as a judge at mock arbitrations at Yale Law School, Columbia Law School, Albany Law School, Fordham Law School and FINRA.

Ms. Malecki’s speaking engagements extend to appearing as an expert for many shows including the Wall Street Journal Live, NBC’s Today Show, Fox Business News, ABC’s Eyewitness News, Bloomberg Television, China TV, EBR TV and several other syndicated shows and networks. She has also appeared on Steve Forbes’ in-flight radio show “America’s Most Influential Women in Government, Technology, Business, and the Law”, as well as an array of other nationally syndicated radio programs. She and her cases have been and continue to get cited in numerous industry publications, including The Wall Street Journal, The New York Times, Forbes and Newsweek. The Wall Street Journal featured Ms. Malecki in a permanent educational video clip about the arbitration process at FINRA on its website.

Ms. Malecki’s experience as a New York securities attorney began in class-action litigation, having worked on the famed class-action case In re Crazy Eddie in the counsel’s office of the lead plaintiffs. Throughout the 1990’s she represented numerous broker-dealers and was instrumental in regulatory matters involving well-known “boiler room” stock fraud characteristic of the era — actually representing the progeny of the real-life “Wolf of Wall Street” that was the subject of a Hollywood blockbuster. In 1999, Ms. Malecki founded her own practice, Malecki Law, in Manhattan, which today employs multiple securities arbitrations, litigation and employment lawyers and staff.

A natural fit and complement to her securities work, Ms. Malecki has successfully represented clients in State, Federal and Appellate courts in various types of commercial and business disputes, including breach of partnership agreements, securities transactional disputes, employment disputes and contractual cases, against major and well-funded adversaries.

Malecki Law has represented several prominent individuals in securities arbitration and Manhattan employment law cases. Some of Ms. Malecki’s clients are as follows:

• Famous “Dot Com” professionals, including both founders of Activision/Blizzard
• A founder of Fairway and Fresh Direct
• Former Professional Baseball Player Rod Beck
• Whistleblowers like Arturo Cifuentes and Eric Kolchinsky
• The Neuberger family, founders of Neuberger Berman, a private investment firm
• Artists-- jazz flutist Bobbie Humphrey, teen singing idol Tevin Campbell, famed local New York playwright Tony Sokol, and New York dance troupe Dura Mater.

Ms. Malecki has repeatedly secured substantial securities industry settlements and awards for her investor clients and favorably settled employment disputes for industry professionals, including being responsible with numerous 7 and 8-figure settlements, both for individuals and for investor groups. She has successfully obtained countless expungements for her clients and even had attorney fees awarded to her clients as part of damages, despite the legal challenges this imposes. And when Ms. Malecki is not using her expertise to help educate the public and legal and financial communities, she is using it to consult on high-profile cases such as, Ontonimo (OMO) Limited vs. BNP Paribas Securities Corp.

For an extended look at more details on some of Ms. Malecki’s significant wins and representations please visit our results page.

• AV Preeminent Peer Review Rating by Martindale-Hubbell
• Named Top Attorney by Super Lawyers and the National Law Journal every consecutive year since 2012
• Named one of “New York’s Women Leaders in the Law” in 2014

• J.D., New York Law School, 1991, Cum Laude
• B.A., Philosophy and Theatre, Manhattanville College, Cum Laude

• New York State Bar
• District of Columbia Bar
• Massachusetts Bar
• U.S. District Court Southern District of New York
• U.S. District Court Eastern District of New York
• U.S. Court of Appeals 2nd Circuit

• Financial Professionals Coalition – Founding Member
• The PIABA Foundation- Former Vice President
• New York State Bar Association - Member
• Public Investors Bar Association – Member, former Board of Directors, and Secretary
• FINRA’s National Arbitration and Mediation Committee (NAMC) – Member

• Speaker, "Avoiding Ethical Mind Fields When Taking Evidence," Practising Law Institute, Securities Arbitration 2024 (September 12, 2024).
• Speaker, "Deposition and Trial Testimony," Securities Experts Roundtable Annual Meeting (July 26, 2024).
• Speaker, "The Current State of Crypto Cases," New York State Bar Association, Federal and Commercial Litigation Section, Securites Arbitration Committee (April 17, 2024).
• Speaker, "She Means Business," Annual Symposium, Legal Association for Womemn, New York Law School (March 1, 2024).
• Speaker, "Looking Through the Lens of a Small Law Firm/Solo Practice: The Evolving Dialogue Around Diversity, Equity, Inclusion and Belonging," NYC Bar Association, November 9, 2023.
• Speaker, "Jeopardy Ethics," PIABA Annual Meeting, October 2023.
• Moderator, “Complex Discovery Issues,” PIABA Annual Meeting, October 2023.
• Moderator, “Compliance, Supervision and Suitability in IRA, Pension and Retirement Accounts,” PIABA Mid-Year Meeting, April 2023.
• Speaker, "Diversity, Equity and Inclusion in the Legal Field," New York Law School Law Symposium, March 2023.
• Speaker, "Being Seen in Dialogues for Diversity: A discussion on Intersectional Feminism in the Legal Profession," NYC Bar Association, October 12, 2022.
• Moderator, Imbedded Losses in Covered Calls, Options in a Volatile Market - Finding the Invisible Case, PIABA Annual Meeting, October 2022
• Speaker, "Practicum on Discovery Issues," Practising Law Institute's Securities Arbitration 2022, September 8, 2022.
• Webinar: "A Recap of 2021 Virtual Proceedings, 2nd Annual Hearings in Review," hosted by Bressler Amery & Ross, May 13, 2022.
• Moderator - "Strategies and Techniques in Dealing with FINRA Arbitrations Involving Senior Citizens," Getting Grandma's Nest Egg Back, PIABA Mid-Year Meeting - April 21, 2022
• Moderator - "NYS Bar Association: "The Future of Mandatory Arbitration," Commercial and Federal Litigation Section's Securities Arbitration Committee and the Dispute Resolution Section's Securities Disputes Committee - February 24, 2022
• Panelist - "NYS Bar Association: "Securities Disputes: Advocating claims involving Regulation Best Interest," Dispute Resolution Section's Securities Disputes Committee - January 13, 2022
• Panelist - "NYS Bar Association: "Habits of Highly Effective Dispute Resolvers," Dispute Resolution Section's Securities Disputes Committee - December 6, 2021
• Panelist – “Women in Litigation Conference: Expungement, Defamation and Wrongful Termination: Navigating the Nuances of FINRA Employment - November 19, 2021
• Panelist - “Practising Law Institute: Securities Arbitration 2021: The Art of Examining and Cross-Examining Experts in Arbitrations” - September 9, 2021
• Panelist – “NYS Bar Association: FINRA Arbitration: Advice from the Experts: Common Claims” – June 16, 2021
• Panelist – Rossdale CLE – “Mastering Gold, Silver, & Investments” June 15, 2021
• Panelist - “Women Lawyers, Arbitrators, and Expert Witnesses,” - 2020 PIABA Annual Meeting and Securities Law Seminar - October 20, 2020 - October 23, 2020
• Panelist - “New Jersey's Proposed Rule On Fiduciary Standards For Financial Professionals: Understanding The Proposal,” Rutgers Business Law Review, Rutgers Center for Corporate Law and Governance and Rutgers Institute for Professional Education, October 19, 2020
• Speaker – “Securities Arbitration 2020” – Practising Law Institute, September 10, 2020. Ms. Malecki will be speaking about FINRA mediations and arbitrations in a virtual world.
• Panelist - “Hot Ethical Issues in Securities Arbitration”, Securities Arbitration: 2019. Practising Law Institute , September 2019.
• Chair: “Consultants, Third Party Providers, Other Attorneys & In-House Staff and Systems: Vital Outside Relationships and Inside Muscle to Support the Small Law Firm Practitioner” New York City Bar Association Seminar, Practice Management Issues for the Solo/Small Law Firm Practitioner, October 2018
• Moderator: PIABA Annual Meeting: Securities Law Seminar: “Challenges Facing Female Claimants’ Attorneys in FINRA Arbitration,” Public Investors Arbitration Bar Association, Annual Securities Law Seminar, October 2018
• Panelist - New York City Bar Association, Securities Arbitration and Mediation: Hot Topics, 2018
• “Women in Litigation”, American Bar Association, November 2017
• Panelist- "Ethics and Expungement", New York State Bar Association, Continuing Legal Education, April 2017.
• Panelist- “Practicum on Experts and Closings”, Securities Arbitration: 2016. Practising Law Institute , September 2016.
• “The FINRA Resolution Taskforce Report After Seven Months: Where Are We Now and Where Are We Going?” Securities Experts Roundtable Annual Meeting, The Union Club.
• Presenter - “The Graying of America- Suitability and Supervision for Senior Investors.” Securities Expert Roundtable Annual Meeting, The Union Club, July 2016.
• NYS Bar Association Securities Law Seminar, 2015.
• Securities Arbitration 2015: Recommendation On Improvement and Other Tips On Technique, New York State Bar Association, November 2015.
• Moderator- “The Ethics of Representing Clients in Unique Situations,” Public Investors Arbitration Bar Association, 25th Annual Meeting, October 2016.
• Moderator- "Arbitration Pleading and Practice: Every Case Its Own Way" Public Investors Arbitration Bar Association, 24th Annual Meeting, October 2015.
• Speaker- “Arbitration Practicum Examination of the Broker in Product Cases”, Practising Law Institute, Securities Arbitration, July 2015.
• Speaker - New York City Bar Association : 3rd Annual White Collar Crime Institute, speaking on Whistleblowers, Monday, May 19, 2014
• New York County Lawyers Association: Hot Topics In Arbitration, June 2014.
• “Recent and Upcoming Rule Changes: Arbitrator Classification, Panel Composition, and Referrals for Disciplinary Action”, Practising Law Institute, Securities Arbitration Program, July 31, 2014.
• PIABA Annual Meeting Seminar, October 2014.
• “Claimants’ Attorney in Mock Arbitration”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar, October 2013.
• Speaker - “Arbitration Practicum on Prehearing Matters” and “Securities Arbitration: Recent Developments in the Law and Future Trends”, Practising Law Institute, Securities Arbitration 2012, August 2012.
• Moderator: “Arbitration Pleading & Practice: Every Case Its Own Way – The Malecki Example: “Affinity Fraud, Non-Securities Related Notes & the Pure Failure to Supervise a Branch”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar, October 2011.
• Panel Speaker: Reg. D and Private Placements - “The Tale of Two Private Placement Arbitrations: ‘Oh, What a Difference a Panel Can Make’”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar, October 2010.
• “Developments in the FINRA Arbitration Discovery Process”, Practising Law Institute, Securities Arbitration, August 2010.
• Speaker – Practising Law Institute, June 2010.
• Panelist – “Pleading Arbitration Claims and Defenses”, Securities Arbitration and Mediation 2007, New York State Bar Association, Continuing Legal Education, November 2007.
• Moderator - Northeast Regional Panel, Public Investors Arbitration Bar Association, Annual Securities Law Seminar, October 2007.
• Industry Expert – “Integrating Compliance and Security Management Procedures into Your Financial Call Center Process to Avoid Litigations” and “Innovative Strategies to Optimize Quality and Reduce Risk,” Call Center Management for Financial Services, Chicago, Illinois, October 22, 2007.
• Panelist - "What Documents to Take to Every Hearing, “ Public Investors Arbitration Bar Association, Annual Securities Law Seminar, October 2006.
• Panelist – New York State Bar Association, Committee on Women in the Law , April 5, 2006.
• "How to Start Your Own Law Practice or Law-Related Business," NYS Bar Association, Committee on Women in the Law, June 2005.
• "Knowing What to Look For: Getting the Documents that Can Win Your Case, “ Public Investors Arbitration Bar Association, Annual Securities Law Seminar, October 2004.
• “A Primer for the Practitioner,” New York State Bar Association’s Securities Arbitration 2004.

• "Getting Grandma's Nest Egg Back" - PIABA, Mid-Year Meeting, (April 2022)
• "Minorities and Women in the Securities Industry: The Disproportionate Impact Securities Fraud Exploitation" - PIABA Bar Journal, Vol. 28, No. 1 (2021)
• “Financial Mediations and Arbitrations in a Virtual World” - PLI Securities Arbitration 2020. Practising Law Institute (September 10, 2020)
• "Ethical Issues in Multiple Representation with a Ponzi Scheme Twist", PLI Current: White Collar Practice Journal. Practising Law Institute (July 2019)
• “Diversity in Arbitration: Not Being an Old White Male”, New York City Bar Association, 2018
• " Securities Arbitration and Mediation 2017: The Courage to Simplify", New York State Bar Association, Continuing Legal Education (April, 2017).
• “The Ethics of Representing Clients in Unique Situations,” Public Investors Arbitration Bar Association (October 2016)
• “The FINRA Resolution Taskforce Report After Seven Months: Where Are We Now and Where Are We Going?”. Securities Experts Roundtable. (July 2016)
• “It’s Closing Time! Considerations in FINRA Arbitration”, Practising Law Institute (2016)
• “Will You Have the Same Arbitrators at the End of Your Case?”, NYS Bar Association (2015) New York State Bar Association (November 2015)
• “Protecting Clients with Diminished Capacity In The Securities Industry: It’s Tricky,” Malecki Law, Jenice L. Malecki, Esq. and Robert M. Van De Veire, Esq. (PIABA Securities Law Seminar, written August 20, 2015 to be published October 2015).
• “Cross Examination of the Broker in Product Cases”, Practising Law Institute, (July 2015).
• New York City Bar Association: 3rd Annual White-Collar Crime Institute, speaking on Whistleblowers, Monday, May 19, 2014
• "Triggering and Tolling: Application of the FINRA Eligibility Rule from a Claimant's Perspective". New York County Lawyers Association. (June 2014)
• "Should Mid-Case Referrals Be Permitted in FINRA Arbitration?". Practising Law Institute. (July 2014)
• “Even Criminals Can Be Whistleblowers: An Overview of the White-Collar Whistleblowing Tightrope in New York” PIABA. (October 2014)
• Claimants’ Attorney in Mock Arbitration, Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2013).
• PIABA Law Jl 2013: “Suitability in the Wake of FINRA Regulatory Notice 12-55”
• Moderator: “Arbitration Pleading & Practice: Every Case Its Own Way – The Malecki Example: “Affinity Fraud, Non-Securities Related Notes & the Pure Failure to Supervise a Branch”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2011).
• “Ethics in Discovery: Court, A Backdrop for Arbitration”, Practising Law Institute (August 2012).
• “Developments in the FINRA Arbitration Discovery Process”, Practising Law Institute, Securities Arbitration 2010 (August 2010).
• “Confidentiality and Use of the Attorney Client Privilege in Arbitration Proceedings”, Practising Law Institute, (June 2010)
• “Sarbanes Oxley: A Brief Primer for the Employee” / “Notes, Expungement, & Good Faith” / “Fair Dealing: A Case in Point”, Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2008).
• “BF and Auction Rate Securities: A Case Study”, Securities Arbitration and Mediation Hot Topics 2008, City Bar Center for Continuing Legal Education (Fall 2008).
• “Securities Arbitration and Mediation: 2007”, New York State Bar Association (Fall 2007).
• Panelist – “Starting Your Own Practice, Starting With Yourself,” New York State Bar Association, Committee on Women in the Law (April 5, 2006).
• "Advance Trial Techniques: Borrowing from Theatre," Public Investors Arbitration Bar Association, Annual Securities Law Seminar (October 2005).
• "Discovery 101 with A Twist: Tips, Timelines, and Tables”: “Securities Arbitration 2004, A Primer for the Practitioner," New York State Bar Association (October 2004).
• "Self-Regulatory Organization Practice: Examinations, Interviews, Hearings and Appeals," Association of the Bar of the City of NY (December 2001 & February 2003).
• "Understanding Wall Street and Avoiding Securities Fraud," The Learning Annex (March 2000).

• Singer Frumento, LLP.: 1994-1998 -- Senior Associate
• Sirota & Sirota, LLP: 1992-1994 -- Associate
• Ezra & Howe, LLP: 1991-1992 -- Junior Associate
• Clerkship, Hon. James C. Francis IV, Magistrate Judge: 1990-1991, U.S. District Court, Southern District of New York, Student Clerk
• Ernst & Young: 1990-1991, Student and Summer Associate
• Curtis Mallet Prevost Colt & Mosle, LLP: 1986-1990, Student Clerk

City of New York: 1999 -- Corporation Counsel: Police Misconduct Cases.

Unafraid of controversial situations, in 1999, amidst great criticism of the New York City Police Department, spent three months working with the City of New York and its police officers in an attempt to deal with litigation and publicity issues relating to the highly publicized police misconduct cases.

• In re Crazy Eddie Securities Litigation
• Duzenbury v. City of New York, (police brutality case).
• In re Moe Rimson & Co.
• In re G.K. Scott.
• In re Salomon Brothers Treasury Litigation.
• In re Gitano.
• In re Homeowners Bank Securities Litigation.
• In re Checkers Securities Litigation.
• In re Cedar Hill Cemetery Litigation.

Ms. Malecki appeared on CNBC's American Greed report titled "The Greed Report: Tempted by the real estate market? Investor beware!" in Feb 2017. She was quoted in the New York Times article "Think Your Retirement Plan Is Bad? Talk to a Teacher" in Oct 2016.

For a list of Ms. Malecki’s media appearances on Bloomberg, Fox News, and others please visit the “Media” page.

Read about Ms. Malecki’s unique career achievements in Law Crossing.

Ms. Malecki has volunteered with the Legal Aid Society and the New York City Board of Education. Ms. Malecki has acted, written, and directed for Off-Broadway, Off-Off-Broadway, and Community Theatre for over 30 years.

Ms. Malecki has supported the Labyrinth Theater Company with esteemed company members such as the late Philip Seymour Hoffman, John Ortiz, Eric Bogosian, Stephen Adly Guirgis (Pulitzer Prize winner, Between Riverside and Crazy), John Patrick Shanley (Pulitzer Prize winner, Doubt, Academy Award, Moonstruck), Sam Rockwell (Academy Award, Three Billboards Outside Ebbing, Missouri), David Zayas, and others.

Ms. Malecki has appeared in internationally recognized award-winning short and independent films and acted as lead vocals in live and recorded performances of All Too Human, a lyric band. In addition, Ms. Malecki has written, directed, and produced short films and short plays that have been featured in festivals around New York City.

Ms. Malecki values the gifts the arts have brought her and feels it is essential to pay it forward. She was formerly a member of the Board of Directors of Developing Artists, which helps under-privileged teens use the arts as a foundation and vehicle for fighting for positive social change.

Ms. Malecki is passionate about her community and sits on the Executive Committee, as well as heads the legal committee, of Sustainable Williamsburg whose mission is to maintain the culture, community, and history of Williamsburg throughout its continued development.