Top Securities Firm, Experienced, Strategic
& Skilled in Responding to SEC Subpoenas

It can be unsettling to receive a subpoena or request for information from any government or regulatory authority, such as FINRA or the SEC. Whether you are a financial professional or an individual, subpoenas are a common tool of securities regulators and parties in cases at or with FINRA and the SEC. In addition to the SEC, FINRA registered representatives are also subject to requests for information through FINRA Rule 8210. Our team of regulatory attorneys can help anyone who receives an SEC subpoena, as well as industry professionals with disciplinary matters, subpoenas, and hearings.

SEC subpoenas require witnesses to give documents and possibly testimony. If you are served with a subpoena, it will contain the details regarding where and when you need to testify, but the subpoena will not have any information regarding what you are being called to testify about. Prior to giving testimony, you could be asked to submit documents regarding certain businesses, individuals, transactions, etc., and these documents, along with those submitted by others, will potentially come up during the testimony. Malecki Law will communicate with the SEC on your behalf to obtain the Order of Investigation, as well as any information a staff attorney is willing to divulge, so you are not going in completely unaware.

Malecki Law has significant experience preparing witnesses to testify. Testimony is not a simple conversation, there are certain “rules” you need to know. Thorough preparation is the most important thing to do before you testify and if done correctly, could possibly avoid future action by the regulator. Being fully prepared when responding to both subpoenas for documents and/or for testimony is of the utmost importance. Making an appointment to consult with an experienced disciplinary hearings and subpoena attorney is an integral part of preparing to answer a subpoena. Malecki Law and its attorneys have extensive experience representing witnesses who are called to appear before the SEC and FINRA. Having experienced counsel can greatly determine the outcome in your favor.

Call us at (212) 943-1233 or contact us online to schedule a free consultation.

Client Reviews

"I have NO hesitation in recommending Jenice Malecki. She made a horrible situation bearable and performed above and beyond our expectations." April V.
"Ms. Malecki is the consummate professional. Her understanding of the legal issues and court tactics are nothing less than outstanding. She always promptly responded to any concerns I had and took the time to explain complicated legal issues." George
"I highly recommend Malecki Law. It was a gratifying experience having Ms. Malecki incharge of our case. She is a true professional with a lot of experience." Jose Z.

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