Well-Known Securities Lawyers, Experienced, Strategic
& Skilled in SEC & FINRA Investigations & Hearings

When audits and investigations uncover issues of significance (or perceived departure from industry rules), governmental regulation and proceedings commence. The experienced attorneys at Malecki Law have developed a distinguished history as counsel in securities enforcement actions brought forth by the SEC, FINRA (formerly NASD and NYSE), federal and state criminal authorities, state securities regulators, and other self-regulatory organizations and exchanges. One of the most critical decisions, whether to litigate or settle, cannot be lightly decided and requires skilled, experienced advice.

Malecki Law has an excellent rapport with civil and criminal, regulatory, and self-regulatory bodies developed over 20 years. While Malecki Law thrives in the litigated setting such as trials or hearings, zealous representation often involves on-the-record interviews, sit-downs with regulators, and a favorably negotiated settlement or cooperation agreement. Litigating breaches of regulatory rules and laws can be costly, time-consuming, and a risk to one’s employment. Like arbitration, regulatory hearings are conducted much like internal trials, before industry professionals and administrative law judges. Such violations not only involve brokers' misconduct but could also result in investigations by a criminal authority.

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.

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.

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