Malecki Law helps investors, businesses and Industry professionals with securities laws, commercial laws and employment laws, including whistleblower laws. Serving clients nationally and internationally, the lawyers of Malecki Law are committed to delivering effective and efficient services of the highest quality to its clients. Focusing on each client's business and/or personal objectives, New York City securities attorney Jenice L. Malecki's continuous and personal attention is focused on finding creative and practical, solutions to each issue, within agreed budgets, strategies and other parameters. She is able to provide personal service by spending time listening to her clients' needs confidentially and providing them with the information that they will need to move forward.
Ms. Malecki represents individuals from the initial stages of investigations through trial and on appeal in a wide range of complex civil and criminal matters, including before the Securities and Exchange Commission ("SEC") in enforcement actions, regulatory proceedings, securities and financial litigation, commercial litigation, and international disputes. She has counseled clients in civil and criminal investigations, congressional inquiries and testimony at hearings, and in internal audits and investigations.
DUI/DWI
Outside of education and work, Jacqueline is dedicated to the fight against drunk driving. She has been a longstanding volunteer for the non-profit Mothers Against Drunk Driving and serves as Walk Chair to the Staten Island Walk Like MADD.
Fraud
Malecki Law is a successful, strategic and straight-talking law firm dedicated to securities law. Our New York securities fraud lawyers serve investors, industry participants, whistleblowers, witnesses, and commercial clients across the country and around the world in a range of securities arbitration, regulatory, and employment matters. Our unique practice gives us the ability to observe all sides of the securities law issues, anticipate the other side and succeed in your goals.
White Collar Crimes
Theft
Embezzlement
Forgery
Investors can pursue claims for unsuitability, unauthorized transactions, churning/overtrading unjust enrichment, theft, forgery, and supervisory failures, amongst other claims. Our investor fraud attorneys help individual and institutional investors from everyday people losing their retirement nest eggs to high profile entrepreneurs with millions of dollars at stake.
Money Laundering
A great writer, Jacqueline has written summaries on SEC Settlement Agreements and SEC Litigation for Thomson Reuters’ publication Practical Law – What’s Market, including claims related to fraud, market manipulation, anti-money laundering, and reporting and disclosure issues. Jacqueline has also written twenty articles on Legislative and regulatory events that impact the securities and commodities market for Fried Frank Regulatory Intelligence (FFRI), formerly known as the Cadwalader Cabinet. The FFRI articles touched on a wide range of topics including SEC rule proposals, trade and financial sanctions, regulation of private fund advisers, and consumer protection efforts.
Jenice is truly a miracle worker and one of the top securities lawyers. She handled a very difficult case for us, displaying her legal knowledge, intelligence, and savviness throughout the process. I cannot recommend her enough. The quality of work from her team rivals that of corporate law firms. She was always available, extremely professional, and made sure to know all the details of the case. We were very fortunate to have been referred to Jenice and highly recommend her for any securities related legal issues.
Mergers and Acquisitions
Jacqueline was an affiliate of the Center for Business and Financial Law, concentrating in business and financial law, including study in Accounting and Financial Reporting, Commercial Law, Corporations, Derivatives Market Regulation, Mergers and Acquisitions, and Securities Regulation.
Business Disputes
The business world is ripe for conflicts that arise from contract disputes, employment, and various points of contention. Issues can take a toll on the successful operations of a business by wasting precious resources like time and money. Retaining the services of a skilled commercial litigation attorney as soon as possible can help avoid lengthy and expensive courtroom litigation. Whether you are facing issues with getting ousted by shareholders or a dispute with an agreement, our commercial litigation attorneys can be of assistance. Our business litigation attorneys are problem solvers with the wherewithal to resolve issues arising before, after, and during litigation. At Malecki Law, building an affordable, cost-effective, and efficient strategy to obtain a favorable outcome for our business clients is a top priority.
Trade Secrets
Antitrust
Ms. Malecki defends in enforcement actions and investigations initiated by various federal and state agencies and departments including the SEC, Department of Justice, United States Attorneys, state attorney generals, and the Financial Industry Regulatory Authority ("FINRA"). These matters involve allegations related to securities, banking, and accounting fraud; insider trading; antitrust violations; whistleblowers; adequacy of disclosures; broker-dealer and investment adviser compliance; fiduciary duties; mortgages and lending; complex financial products; securitization; deceptive trade practices; and other similar areas. Useful Links for Regulation and Self-Regulation United States Securities & Exchange Commission
(Jenice L. Malecki, Esq. appeared on behalf of PIABA) the brief stated that WVHUS was a customer within the definition of the FINRA Rules. The Second Circuit agreed, holding that WVUH, which issued bonds that UBS advised, was a customer of UBS and could arbitrate its dispute with UBS in a FINRA arbitration. See UBS Financial Services v. West Virginia Univ. Hosp., Inc., 660 F.3d 643 (2d Cir. 2011). Municipal Workers Compensation Fund, Inc. v. Morgan Keegan & Company, Inc.
Wrongful Termination
When conflicts in the workplace arise, both employee and employer benefit from seeking New York securities employment lawyers. Employees in the securities industry are incentivized by promissory notes and large annual bonuses, which often lead to almost involuntary long terms of employment that can be ripe for conflict. Those conflicts are usually resolved in FINRA arbitrations and sometimes lead to regulatory/self-regulatory investigations. As the arms-length, at-will employment environment between securities employers and employees seems to increasingly widen, there are more disputes related to wrongful termination, unpaid compensation and Form disclosure U4/ U5 cases. It cannot be understated that in the battle to keep clients, firms and firm employees often resort to improper tactics to smear a financial professional on their way out the door leading to state, regulatory and/or self-regulatory investigations that can impact a career.
Employment Contract
Clients often come to us for help with “divorce”/partnership dissolution, contract disputes, officer/liability, breach of warranty, business and employment contract negotiations, a contest for control of a cooperation or partnership, interference with business relationships. Other cases involve defamation and libel disputes, deceptive business practices, breach of non-disclosure, interference with business relationships. Some of our commercial litigation clients have included business owners, high-level executives, entrepreneurs, investors, investors, board of directors, LLPs, and employees. We have represented business clients within the United States as well as abroad in federal or state courts, administrative hearings, arbitrations, and mediations. Even in high-stakes, complex multi-district and inter-disciplinary litigation, our attorneys can fearlessly fight on your behalf. Free Consultation With a Securities Lawyer
Employment Litigation
From fighting for wronged investors in FINRA arbitration to counseling financial professionals, corporate employees and the public facing SEC investigations, FINRA 8210 requests, U4/U5 expungements, and employment disputes, we provide experienced counsel when the stakes are high. Led by Attorney Jenice Malecki, a respected authority in the field of securities law, we have cultivated a reputation as fierce and ethical advocates.
Non-compete Agreement
We help clients with Form U4/ U5 disclosure issues, promissory notes, non-compete agreements, and other negotiations brokers have when exiting a firm, including industry professionals who are investigated by regulatory, self-regulatory and state examiners. From compensation and termination disputes to restrictive covenants and severance negotiations, Malecki Law’s securities employment counsel in New York has your back.
Severance Agreement
An old adage is true with severance packages: “you don’t get what you don’t ask for.” You have the right to have a lawyer review any documents a firm requests that you sign. That lawyer has the right to suggest changes and modifications, including the dollar amount. Malecki Law’s employment lawyers stand ready to help negotiate severance packages and termination agreements. The firm has a lawyer and so should you.
Sexual Harassment
Secured a $2 Million settlement in municipal securities industry compensation and sexual harassment claim in Federal Court Southern District New York
Adam Schreck is an Associate at Malecki Law in New York, New York. Adam received his Juris Doctor from New York Law School where he was on the Dean’s List and focused his studies on business and real estate law. Adam focused studies in Corporations, Commercial Law, and Derivatives Market Regulation.
Securities Law is a highly specialized field and your choice of counsel plays a critical role in the outcome. These cases are not like personal injury cases and should not be handled by lawyers without the appropriate experience and dedication to investors and the securities industry. Since its inception, Malecki Law has been uniquely focused on securities law, representing blue collar as well as high profile investors, industry professionals, prominent securities industry whistleblowers, and subpoenaed witnesses before the SEC, Department of Justice, FINRA, U.S. Attorney’s office, and the New York D.A.’s office. We Know Both Sides of the Argument: Plaintiffs and Defendants
Adam also worked as an Estate Planning Summer Associate at McManus & Associates in New Providence, NJ. In that role, Adam worked on estate planning and wealth transfer issues for high-net-worth clients in New Jersey and New York.
Any regulator who sees a potential violation of a different agency’s rules, can also make a referral to that agency – they could be required to do so. For example, if a state regulator sees a federal tax issues in documents you produced or things you told them, they can refer the matter to the IRS. This is true of the Consumer Protection Bureau, the CFTC, the FBI, the DOJ and so on.