Ms. Jenice Malecki was a moderator today at Public Investors Arbitration Bar Association’s (PIABA) panel on ‘The Danger of Diminished Capacity, Ethics as a Broker and for the Lawyer.’ The seminar discussed what diminished capacity is, important studies on dealing with clients with diminished capacity as financial advisors and lawyers,…
Jenice L. Malecki has been once again rated as a Top Attorney by Super Lawyers in 2015. Ms. Malecki, a well-known Securities Attorney and owner of Malecki Law, has had the distinction of being a Super Lawyer rated Top Attorney since 2012. According to Super Lawyers outstanding attorneys from…
The investment fraud attorneys at Malecki Law are interested in hearing from investors who have complaints regarding former stockbroker Robert H. Potter. According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Potter has been permanently barred by FINRA. He has also reportedly been the subject of…
The securities fraud attorneys at Malecki Law are interested in hearing from investors with complaints involving Adam F. Coblin. Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Coblin is currently not a registered stock broker or investment advisor. He was previously registered with the Gilford Securities…
According to an article by Rob Lenihan of Thomson Reuters, published in August 2014, Sean McKessey, head of the SEC’s whistleblower program, was quoted by the Wall Street Journal as saying that the numbers [of whistleblower complaints] will soon grow and “we’re getting close to the sweet spot.” Malecki Law…
According to a Letter of Acceptance Waiver and Consent filed with the Financial Industry Regulatory Authority (“FINRA”), Thomas Buck has been barred by FINRA from working with any FINRA member firms. Mr. Buck was a former top broker at Bank of America Merrill Lynch and was at the time a…
It was recently reported that Keith M. Rogers, formerly employed by GLS & Associates, Inc., a FINRA broker-dealer, has been indicted and held on $2 million bond on securities fraud charges, where it was reported that he took investors’ money to pay for personal expenses and repay other investors, a classic…