Securities Industry Background The securities industry is one of the most regulated industries in the United States. Statutes, common law, and federal regulations all govern the conduct of securities firms and their representatives. Securities firms must register with the Financial Industry Regulatory Authority (FINRA). FINRA is a self-regulated organization (SRO)…
This Thursday, September 8, 2022, New York City securities lawyer, Jenice L. Malecki, Esq., will be part of a live panel at the PLI’s Securities Arbitration 2022 program, a 1-day Continuing Legal Education (CLE) event on best practices and the latest trends in securities arbitration. The event will be hosted…
On July 27, 2022, the Securities Arbitration Committee of the Commercial and Federal Litigation Section of the New York State Bar Association will put on a free, lunch hour (12:15 PM to 1:30 PM) educational panel to discuss issues unique to the legal representation of employees in the securities industry. …
Malecki Law is pleased to announce that Ms. Jacqueline Candella has joined Malecki Law as its new associate securities attorney in New York. Ms. Candella is a recent graduate of the New York Law School yet brings with her an impressive background in the securities and financial industry. Ms. Candella…
Today at 1:00 PM, NYC FINRA arbitration lawyer Jenice L. Malecki, Esq. will be presenting at a year-in-review webinar hosted by the defense firm Bressler, Amery & Ross, entitled A Recap of 2021 Virtual Proceedings 2nd Annual Hearings in Review. There is still time to attend and register for the…
Weighing in on all things financial services, top securities industry lawyer, Jenice L. Malecki, commented on two matters going on at the Financial Industry Regulatory Authority (FINRA). First, under fire again, it looks like another FINRA arbitration is poised for potential vacatur because of the conduct of an over-reaching, advocatory-styled…
The Public Investors Advocate Bar Association (PIABA) will be welcoming back the organization’s former board member, Jenice Malecki, as a moderator for its Mid-Year Meeting and one-day continuing legal education (CLE) program entitled Getting Grandma’s Nest Egg Back. The program kicks off on April 21, 2022, from 12 PM to…
Next week, the New York State Bar Association’s Securities Arbitration Committee will be hosting a timely conversation on the future of mandatory arbitration. For the last 35 years, retail investors seeking recovery of stock market investment losses have had no other choice but to arbitrate their disputes at the Financial…
Yesterday, Malecki Law filed its official response to FINRA’s proposed changes to FINRA Rule 3240, in which FINRA seeks to modify the five current exceptions to the general rule that prohibits any “registered person” with a brokerage firm, from borrowing or lending to their customers. The rule applies to registered…
This week, Malecki Law filed its second FINRA arbitration lawsuit against Henley & Company, LLC on behalf of a group of retirees who lost their money in an apparent Ponzi Scheme. Their arbitration alleges that they were victimized by the brokerage firm’s inadequate supervision over its registered representative, Philip Incorvia,…