Malecki Law Helps Advance the Law

Malecki Law is a nationally renowned New York securities law firm with an international reach. The attorneys at Malecki Law have secured significant results for clients and handled cases that have impacted laws and engaged in works that have advanced the profession. Led by Attorney Jenice Malecki, our New York attorneys serve a diverse clientele of investors, broker-advisers, and other industry participants in a range of complex and high-stakes matters. As authorities in this field, we leverage tremendous insight and decades of experience to fight for clients and colleagues nationwide. Call for a consult.

In addition to securing significant recoveries for victims of securities fraud, Malecki Law has handled cases that have impacted the law. Learn more about our work.

Malecki Law’s New York securities law firm is a boutique practice known for big results.

In addition to helping clients secure significant recoveries in FINRA arbitrations and positive outcomes for various regulatory disputes, our attorneys have also engaged in work that has shaped and influenced important issues in the securities industry and the law.

Since 1999, Attorney Jenice Malecki, the lead securities lawyer in New York, and our team have been instrumental to defining key issues in securities cases handled in state, federal, and appellate courts across New York and beyond.

This includes issues arising from securities arbitration, class action securities fraud litigation, and individual actions over matters pertaining to SEC and FINRA enforcement (including targets, whistleblowers, and witnesses), investor arbitrations, industry employment disputes involving U5 issues, upfront bonus compensation, and forgivable loans, among others.

Malecki Law’s securities attorneys in New York prevailed and set the standard in New York for attorney’s fees in arbitration in a case entitled Ferrucci v. McLaughlin, Piven, Vogel Securities, Inc., On appeal, the New York Court of Appeals, held that where the submission agreements of each party incorporates attorneys’ fees in the pleadings and case law is cited, it constitutes an agreement by the parties to empower the arbitrators to decide on whether to award attorneys’ fees to an investor customer.

In the notorious Citigroup Global Markets v. Abbar case, Malecki Law played a key role in PIABA’s Amicus Brief. The 2nd Circuit’s holding established a test to determine who is a brokerage firm’s “customer” under FINRA Rule 12200, defining when a brokerage firm is required to arbitrate at FINRA.

Ms. Malecki represented a whistleblower that was instrumental in Securities and Exchange Commission v. Masselli et al, in 2019, where the SEC awarded a maximum 30% whistleblower award to a victimized investor defrauded by a Ponzi scheme purporting to be a big gaming company – the CEO and principals of the company are in jail.

In the Matter of Lek Sec. Corp. v. Elek case, securities lawyers in New York at Malecki Law represented an international investor and prevailed at the New York Court of Appealslevel to overturn an erroneous lower court’s ruling that a US brokerage firm did not have to arbitrate in FINRA where it received money through an international UK affiliate. The Court of Appeals decided almost unanimously, with one dissent, that irrespective of which affiliate received payment for services, the investor was entitled to utilize FINRA’s arbitration forum.

Malecki law also brough what appears to be the forst ever case under 12 USCS Sec. 1831K. In USA v. Kaufman, Malecki represented a Whistleblower relating to credit unions and Federal banking agencies. CEO Kauffman was found guilty of misrepresentations and other wrongful conduct.

Regarded as an authority on NY securities law, Attorney Malecki has also influenced many legislative and regulatory changes through various positions held in industry organizations.

When she was a member of FINRA’s National Arbitration and Mediation Committee she has helped advise FINRA’s Board of Directors to define and create FINRA Rules and New York State law on customer and attorneys’ fees awards as they exist today. She has done similar work as a former Vice President and Director and Officer of the Public Investors Arbitration Bar Association (PIABA), a non-profit committed to investor education and advocacy, and has spoken extensively before bar associations, law schools, and other legal groups on issues surrounding the future of the securities industry.

Ms. Malecki also frequently files official comments for consideration on new securities-related rules and laws to share her valuable input with regulators. She has lobbied Senators and members of the House of Representatives in support of legislation meant to protect investors and has advocated on the House and Senate floor for the Investor Choice Act of 2013, the creation of an unpaid arbitration awards fund, and state-equivalent legislation similar to the Labor Department’s Fiduciary Rule. Her frequent coverage in the media, including her contributions to publications such as The Wall Street Journal, The New York Times, Forbes, and Newsweek, has also played a role in helping shape the industry’s evolving landscape.

As the current Co-Chair of the New York State Bar Association’s Commercial & Federal Litigation Section’s Securities Arbitration Committee and an Adjunct Professor at New York Law School’s Securities Arbitration Seminar and Field Placement, Attorney Malecki continues to leverage her insight and the respect she has cultivated among her peers to advocate for sensible policy changes that fill critical needs in the securities industry and further the rights of investors.

Learn more about our firm and our areas of practice or contact us to discuss a potential matter.