"Out of Sight but Not Out of Business: Barred Brokers Still at Work", Glenn Koch, Financial Advisor IQ (October 16, 2024)
"Settle at Your Peril? Past Arbitration Outcomes Factoring into Finra Sanctions" Glenn Koch, Financial Advisor IQ, (August 26, 2024)
"FAs Sue to Have FINRA Decide Legal Battle with United Capital", Brianna Monsanto, Financial Advisor IQ (April 11, 2024)
FINRA Brings Down Reg BI Hammer on Ex-Cambridge Broker Over Annuity Exchanges, Lisa Fu, Advisor Hub (December 1, 2023)
My Mom Lost $30,000 in Bad Investments. Can I Help Her?, Charlotte Cowles, The Cut's Personal Finance Section (November 2, 2023)
'Murky Disparity' Stalls Progress, Bruce Kelly, Investment News (October 23, 2023)
SEC Accuses Microcap Energy Co., CEO of $3.4M Stock Scam, Emilie Ruscoe, Law360 (June 16, 2023)
Edward Jones discrimination lawsuit turns scrutiny on corporate DEI promises, Victoria Zhuang, Financial Planning Magazine, (April 14, 2023)
J.P. Morgan Soundly Defeated in Quest for Millions from Ex-Brokers, Tobias Salinger, Financial Planning Magazine, (June 7, 2022).
Cetera Ordered to Pay Former Broker $3M for Defamation 'Scheme', Tobias Salinger, Financial Planning Magazine, (May 04, 2022).
In Potential Landmark, State Regulator Intervenes in Expungement Case, Tobias Salinger, Financial Planning, (May 03, 2022).
"As Puerto Rico exits bankruptcy, UBS brokers rack up expungements", Financial Planning Magazine, (April 7, 2022)
“Does Utah Lead the Nation in Ponzi Schemes?”, KSL.com: Utah News (February 11, 2019)
“Ex-advisor and daughter’s $11M fraud paid for diamonds and pearls, feds say”, Financial Planning (December 17, 2018)
"Data firm promoter takes PE investor to court over removal", VC Circle (September 10, 2018)
"Religious-based financial fraud is rampant. Here's how to fight it", CNBC (September 12, 2018)
"Ex-UBS Brokers Win Expungement for Puerto Rico Bonds", Financial Advisor IQ (August 28, 2018)
“Ex-UBS brokers score 28 expungements in one fell swoop”, On Wall Street (August 27, 2018)
“Ex-UBS Brokers in Puerto Rico Claimed Firm Misled Them About Bond Products”, AdvisorHub (August 23, 2018)
“Securities America Advisor Accused of Ponzi Scheme, Stealing Pension Money”, WealthManagement (August 17, 2018)
"BDs required to record phone chats with clients may soon be identified publicly", Financial Planning (August 8, 2018)
"Rockland investor Hector May accused of defrauding pension plans", Lohud (August 3, 2018)
"Securities America failed to spot red flags of ex-advisor’s scam, clients say", Financial Planning (June 27, 2018)
"Ponzi schemes a popular tactic with accused Rockland fraudsters, targeting family, friends", Lohud (June 22, 2018)
"Hector May's 'victims' take action against his supervising company", Lohud (June 15, 2018)
"Testify before FINRA? No thanks, I’d rather be barred", Bank Investment Consultant (June 5, 2018)
"Hector May case has earmarks of Ponzi scheme, says alleged victims' lawyer", Lohud (April 23, 2018)
"Broken bonds: The role Wall Street played in wiping out Puerto Ricans’ savings", CNBC (December 18, 2017)
"The Greed Report: Tempted by the real estate market? Investor beware!", CNBC (February 11, 2017)
"Advisor Fired After Flying In Client Cash from Switzerland Disputes FINRA Award", FundFire (February, 2017)
"Calamos Faces Lawsuit Hurdle to Acquisition Plans", FundFire (January, 2017)
"Think Your Retirement Plan Is Bad? Talk to a Teacher", The New York Times (October 21,2016)
"MSWM Goes to Court to Get Former FA to Pay Back Loans", FundFire (January 15, 2016)
"Mass exodus of stock brokers from Swiss bank offices Puerto Rico", Caribbean News Now! (July 27, 2015)
"Malecki Law Announces Filing Of Another FINRA Arbitration Claim Against UBS Puerto Rico On Behalf Of A Group Of Seven Former Brokers", Market Watch (July 24, 2015)
"Robert Van Zandt of the Van Zandt Agency pleads guilty in Ponzi scheme", Bronx Times (November 20, 2014)
"Is the O’Hagan Precedent Central to Ackman’s Defense of Allergan’s Insider Trading Claims?", CT Financial News (August 17, 2014).
"Should Mid-Case Referrals Be permitted in FINRA Arbitrations?", PLI (2014).
"Triggering and Tolling: Application Of The FINRA Eligibility Rule From A Claimant's Perspective", PIABA (2014).
"Finra delays decision on public arbitrators", Investment News (August 5, 2014).
"After Slow Start, Whistleblower Shows Gains Fighting Fraud", Thomson Reuters (Rob Lenihan: July 29, 2014).
"Brokers dodge customer complaints with bankruptcy", Investment News (May 29, 2014)
"2nd Circ. To Test Flexibility of FINRA Arbitration Rule", Law360 (April 17, 2014).
"Bitcoin and the Rebirth of Financial Safe Havens", Financial Sense (October 28, 2014).
"Google Settlement Paves the Way for Stock Split", E-Commerce Times (October 28, 2014).
"UPDATE 1-U.S. SEC charges trading firm owner, others in 'spoofing' case", Reuters (April 4, 2014).
"COMPLY-FINRA arbitration awards go unpaid, insurance no easy fix", Reuters (October 10, 2013).
"Finra Wins OK for Plan to Publicize More Actions Against Brokers," Dow Jones (June 24, 2013)
"NY Tees Up Tax FCA Suits That May Dwarf Sprint Case", Law360, New York (March 13, 2013).
"Video Game Exec’s Suit Blaming Banks For Tax Scheme Nixed", Law 360, (March 04, 2013).
"Bronx Man Accused Of Running $35 Million Ponzi Scheme", CBS New York (June 5, 2012).
"Ponzi Plot Grows", Bronx Times Reporter, (March 15, 2012).
"Ponzi Victims to Sue: Multi-Million $ Complaint Targets MetLife", Bronx Times Reporter, pg. 1 (December 15th-21st, 2011).
"Malecki Law Announces Filing of a Defamation Complaint Against Moody's and CEO Raymond McDaniel for Alleged False Statements it Made to Discredit a Whistleblower who Testified Before Congress, Former Moody's Analyst Eric Kolchinsky", PRNewswire, (September 14, 2010).
"Former Moody’s Executive Files Suit", New York Times (Louise Story: September 13, 2010).
"Golden fears: Retirement gone awry", The Daily News (Phyllis Furman: January 21, 2008).
"Wachovia forks over $25 million for research dispute", Asset Securitization Magazine (Coleen Marie O’Connor: July 10, 2006).
"Wachovia Reaches Pact with Ex-Analyst", Wall Street Journal (Dow Jones Newswire: January 11, 2006).
"Inquiry Seen Into Firing of Wachovia Analyst", New York Times (Gretchen Morgenson: November 17, 2005).
"SEC Probes Firing of Wachovia Analyst", The Washington Post (November 16, 2005).
"Cifuentes vs. Wachovia heats up," Asset Securitization Report (August 14, 2005)
"Natwest rattles Sabre in law firm claim", Risk.net (Rachel Wolcott: August 2005).
"Analyst Files Complaint Against Wachovia Securities", IDD (July 20, 2005).
Malecki Law Announces Filing of Sarbanes-Oxley Complaint with Department of Labor (July 20, 2005).
"Operations Risk-Malecki Law Files Sarbanes Complaint Against Wachovia", IECA (July 20, 2005).
"Stephen Taub, Whistle-Blower Case Raises Timing Issue", CFO MAGAZINE, (July 12, 2005).
Natwest rattles Sabre in law firm claim, Risk.net (Rachel Wolcott: August 2005)
"Whistleblower Complaint Filed Against Wachovia Unit", Charlotte Business Journal (July 12, 2005).
"CDO Analyst Cifuentes Alleges Pressure from Wachovia", Asset Securitization Report Magazine (Colleen Marie O'Connor: July 11, 2005).
Scott Goodwin, Researcher Turns To Sarbanes-Oxley Over Wachovia Dismissal, Loan Market Week (July 8, 2005).
"Cifuentes: Wachovia Swayed Research," Asset-Backed Alert (July 8, 2005)
"SEC Approves Changes to NASD Arbitrator Rules", Securities Week (July 5, 2004).
"RBC Dain Rauscher Creates Diversity Program, Appoints Director", Securities Week (June 14, 2004).
"Confidentiality and Use of the Attorney Client Privileges in Arbitration Proceedings", PLI (June 2010)
"NYSE Arbitrations Suffering From Slowdown", Securities Week (April 5, 2004).
"Alone Among Win houses Wachovia Recruits Through its Clearing Division", Securities Week (March 22, 2004).
"Mass-Tort Attorney Sanctioned by NASD, Also Appointed to Prestigious Panel", Securities Week (Feb. 23, 2004).
"NASD Discovery Abuse Plans Seen by Some as Not Addressing Real Cause of Problem", Securities Week (Jan. 26, 2004).
"Summary Judgment Gives Race Victory to Everyone with our Contract", Securities Week (Oct. 6, 2003).
"Client Swing Smith Barney Sexual Discrimination Class Counsel for Malpractice", Securities Week (June 23, 2003).
"Case Now on Appeal has Potential to Open Door for Mastershares Suits Against Prudential", Securities Week (March 24, 2003).
"NASD Information Disclosure Critics Say Disciplinary Information on Members Is Lacking", The New York Law Journal (June 6, 2002).
"Spitzer Claims Merrill Lynch Misled Investors", The New York Law Journal (April 18, 2002).
"The Strip: Harrah's Executives Sold Stock Before News", The Las Vegas Business Journal (July 19, 2001).
"Law Suit Accuses Geppi of Stealing Art Work", Baltimore Business Journal (November 2000).
"Harvey Implicates Geppi in $5 Million Stolen Art Suit," Comicon.com (October 25, 2000).
"Sad Sack vs. Steve Geppi", The Comics Journal (October 19, 2000).
"Want to Sue Your Broker?" , Diversions Magazine (February 2000).
"Former Compliance Chief Fights NASD; Says Court-Appointed Counsel Was in Charge", Compliance Reporter, Institutional Investor, Inc. (March 2, 1998).
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