Ohio Securities Arbitration Attorneys

For nearly 25 years, Malecki Law has been a prominent securities law firm in the heart of the Wall Street district in lower Manhattan. We litigate broadly on securities matters in the courts and in FINRA arbitration, representing both investors and financial professionals against the world’s largest brokerage firms. Our firm’s securities arbitration attorneys have national reach and will defend Ohioans, both individuals and businesses, in securities and regulatory matters, whether related to licensing or federal and state securities violations.

If you are an investor or a retiree: our law firm can help you if you suffered stock market losses whether due to a fraud or Ponzi scheme, negligence or failed supervision of your account, or unsuitable investments that may have been recommended to you. Our securities attorneys are experienced practitioners in the FINRA arbitration forum, which is the forum most retail investors are required to litigate their claims. Generally, retail claims for investment losses cannot be brought in court.

If you are a financial professional: we can help you to resolve employment matters involving your old firm, as well as help you negotiate a transition to a new one. Our securities arbitration attorneys have extensive experience in defending claims in FINRA arbitration for repayment of bonus money received in the form of promissory notes. We can also help you bring your own claims for unfair employment practices, including breach of contract, and expungement of defamatory remarks or customer complaints from your Form U5.

If you received a subpoena: our securities arbitration law firm can help you respond to subpoena requests for documents or testimony from a regulator, including the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), or the Ohio Division of Securities.

The Ohio Division of Securities recently held its World Investor Week to promote awareness and investment tips among Ohioans about financial fraud. However, relying solely on civil or criminal authorities to make you whole is a long and opaque process that can take many years. There is also no guarantee that the authorities will see your case to the finish line so that you make a full financial recovery.

Malecki Law’s securities arbitration lawyers often work with the authorities to assist our clients who have been victimized by financial fraud, but we do so with the expectation that any assistance provided is a “one way street.” Meaning, the authorities expect you to cooperate and give them information about how you were defrauded, but in return they do not give you much information to help with your civil case or any other sense of progress in their investigation (or on whether an investigation even remains open in the first place). It is important to have an attorney familiar with securities and working with the authorities to ensure that your statements are consistent and do not later preclude you from a civil recovery.

So even though it may be comforting to know that the authorities are aware that you have been harmed, it is still important to seek a parallel recovery via civil lawsuit against the parties who harmed you. Our securities arbitration attorneys have recovered tens of millions of dollars on behalf of investors and retirees who have been harmed in the markets, whether in New York or Ohio. Malecki Law follows all guidelines to ensure that you are properly represented in your state. Call us for a free consultation, as many of our clients choose a contingency arrangement where we do not get paid unless you do.