The Securities Fraud attorneys at Malecki Law today visited the Hudson Guild Senior Center to educate members of their Naturally Occuring Retirement Community (NORC) about Elder Financial Exploitation. Adam Nicolazzo and Robert Van de Veire addressed a group of 15-20 senior members of that community about investment fraud, common red…
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Jenice L. Malecki Moderated A Panel Today at PIABA
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,…
I Have Just Been Fired By UBS in Puerto Rico. What Do I Do?
A number of senior management with UBS Puerto Rico were terminated late last week, according to sources. It is believed that individuals from marketing, investment banking, lending and other areas of the bank’s operations on the island were all let go. Read the recent report by Reuters on this here. Consistent…
Malecki Law Attorneys, Jenice Malecki & Bob Van De Veire, Named Top Attorney & Rising Star by Super Lawyers in 2015
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…
FINRA Crackdown on Broker Migration: 10 Former Global Arena Representatives Sanctioned After On-site exam
FINRA reported that it barred 10 former Global Arena Representatives including the former President of Global Arena Capital Corp., Barbara Desiderio, and five former representatives (David Awad a.k.a. David Bennett, James Torres, Peter Snetzko, Alex Wildermuth, and Michael Tannen) in all capacities; barred two former principals, Kevin Hagan and…
Adam F. Coblin Is No Longer A Registered Broker and Financial Advisor and Has Been the Subject of Ten Customer Complaints
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…
BROKER REPORT: Former Financial Advisor Manuel Dopazo
The securities fraud attorneys at Malecki Law are interested in investigated possible claims on behalf of investors who have complaints regarding former stockbroker Manuel Dopazo. According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Dopazo has been the subject of multiple customer disputes in just…
Are We Still At A “Sweet Spot” for SEC Whistleblowers?
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…
BROKER REPORT: Over Ten Customer Complaints Against Michael Fasciglione
The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Michael Fasciglione. Mr. Fasciglione is believed to be registered with National Securities Corporation, based out of Mineola, NY. He has also recently been registered with Oppenheimer & Co. and First Montauk Securities,…
BROKER REPORT: Churning Complaints Regarding Dwarka Persaud
The securities fraud attorneys are interested in hearing from investors with complaints involving Dwarka Persaud. Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. Persaud is a registered stock broker with Buckman, Buckman & Reid, based out of Shrewsbury, NJ. Mr. Persaud’s BrokerCheck Report indicates that…