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Video Transcripts

About Malecki Law - Transcript Meet Jenice L. Malecki - Transcript Securities Litigation Experience - Transcript Whistleblower Cases - Transcript State Regulatory Investigations - Transcript Securities Employment Advice - Transcript SEC Subpoena - Transcript Investor Mediations - Transcript Investor Arbitration at FINRA & AAA - Transcript Internal Investigations - Transcript FINRA Arbitration - Transcript FINRA 8210 Requests - Transcript Elder Financial Fraud - Transcript Correcting Form U5 Information - Transcript AAA vs. FINRA Arbitrations - Transcript What Types of Misconduct Can Occur With Self-Directed IRAs? - Transcript What Are the Obligations of a Custodian or Administrator of a Self-Directed IRA? - Transcript What Evidence Is Necessary to Prove Misconduct Related to Self-Directed IRAs? - Transcript What Are Unauthorized Trading, Churning, and Overconcentration Cases? - Transcript Damages for Unauthorized Trading, Churning, etc - Transcript Authorization for Trades - Transcript What Is a Ponzi Scheme and How Does It Operate? - Transcript What Are the Warning Signs of Affinity Fraud and Ponzi Schemes? - Transcript What Types of Misstatements or Omissions are Typically Involved in Fraud Cases? - Transcript Aiding and Abetting Fraud: Understanding the Liability of Brokerage Firms and Banks What Are the Potential Consequences of Entering Into an SEC Settlement? - Transcript Legal Standards for Brokers - Transcript What is a FINRA Acceptance, Waiver, and Consent (AWC)? - Transcript Liability for Defective Securities - Transcript Who Can Be Held Liable in FINRA Conduct Cases? - Transcript What Types of Options Cases Are Commonly Litigated? - Transcript What Are the Potential Risks Associated with Trading Options? - Transcript How Do Blue Sky Laws Vary From State to State? - Transcript What Are Blue Sky Laws, and What Is Their Purpose? - Transcript Reg BI Suitability Violations - Transcript What Disclosures Are Required Under Reg BI? - Transcript What Triggers a FINRA or SEC investigation? - Transcript How Long Do FINRA and SEC Investigations Typically Last? - Transcript What Types of Evidence Are Typically Collected During a FINRA or SEC Investigation? - Transcript What Are the Consequences of Failing to Cooperate with an SEC Investigation - Transcript What Is the Process for Responding to a FINRA or SEC Investigation? - Transcript What Are the Risks Associated with Investing in Complex and Alternative Investments? - Transcript What Are Complex and Alternative Investments? - Transcript Due Diligence Required in Complex & Alternative Investments - Transcript What Is the Difference Between Forgery, Conversion, and Theft? - Transcript What Is the Process for Filing a Lawsuit Related to Forgery, Conversion, or Theft? - Transcript Assets Subject to Forgery, Conversion & Theft - Transcript What Types of Evidence Are Typically Used in Forgery, Conversion, or Theft Cases? - Transcript What Is a Wells Notice, and What Is the Significance of Receiving One? - Transcript Remedies for Sales Practice Violations - Transcript What Is the Difference Between Suitability and Regulation Best Interest (Reg Bi)? - Transcript What Is a Self-Directed IRA and How Does It Differ From a Traditional IRA? - Transcript Punitive Damages for Breach - Transcript What Are the FINRA Conduct Rules? - Transcript What Are Options and How Do They Work? - Transcript What Are Annuities, Private Placements, and Illiquid Securities? - Transcript Damages Related to Private Placements & Illiquid Securities - Transcript What Evidence Is Necessary to Prove That a Security or Investment Is Defective? - Transcript What Are Defective Securities and Proprietary Investment Cases? - Transcript How Do Defective Securities Differ From Traditional Securities Fraud Cases? - Transcript What Evidence Is Necessary to Prove a Misstatement or Omission in a Fraud Case? - Transcript What Types of Damages Are Typically Sought in a Failure to Supervise Case? - Transcription What Evidence Is Necessary to Prove a Failure to Supervise Claim? - Transcript What Is Affinity Fraud and How Does It Differ From Other Types of Investment Fraud? - Transcript What Is the Difference Between a Breach of Fiduciary Duty and a Breach of Contract? - Transcript FINRA Sales Practice Violations - Transcript What Can Investors Do if There Is Unauthorized Trading, Churning or the Like? - Transcript Legal Consequences for Fraud & Ponzi Schemes - Transcript Damages for Breach of Fiduciary Duty - Transcript What Are the Obligations of a Brokerage Firm or RIA in Terms of Supervision? - Transcript

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