- Free Consultation: (212) 943-1233
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Are We Facing a Pro Crypto-Securities Future in the U.S.? – Announcement of the New SEC Chair and the Future of Bill FIT21
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Interplay of Elder Financial Fraud, Reg BI, and AML – Part 1
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Single and Special Purpose Broker-Dealers in the Crypto Securities Space
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What is the Potential Impact of the Presidential Election on the Uncertainty of Crypto Regulation?
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Malecki Law Founder Offers Insights on FINRA-Barred Brokers Continuing to Work in the Financial Services Industry
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SEC Approves FINRA’s Proposed Rule 3240 Change and Cites Malecki Law’s Public Comment
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Malecki Law Files a Public Comment in Response to FINRA’s Proposal to Amend Rule 12800, Impacting the Application of the “Discovery Guide.”
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Malecki Law Had First Female-Led IPHC – Is Diversity in the FINRA Space on the Rise?
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Malecki Law Founder, Jenice L. Malecki, to Speak at PLI’s Securities Arbitration 2024 Conference
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Post Summer Transitions: Industry Tip #1 – Beware of the Non-Compete Clause
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A Broker’s Perspective on Historic Arbitrations Should be Considered Before Determining Their Sanctions Pursuant to Rule 2010’s High Standards of Commercial Honor
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Retirement in an Ever-Changing Financial Market: Reg BI and KYC Implications
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Is a “Chip-Wreck” on the Horizon?
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Malecki Law Obtains Second Favorable Industry Expungement Award In As Many Months
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Malecki Law Founder, Jenice L. Malecki, to Speak at the Securities Experts Roundtable’s 2024 Annual Membership Meeting and Conference in Washington D.C.
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Supreme Court Strips Securities and Exchange Commission of Its “Home-Field” Advantage
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Defamatory Form U5 Language Deters Investment Firms from Hiring Registered Representatives – Malecki Law Obtained a Favorable Award
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Recognizing World Elder Abuse Awareness Day: Why You Should Stay Vigilant Regarding Trustees and Power of Attorneys
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“Roaring Kitty” Brought Back to Life: How the “Meme Stock” Leader Continues to Make Headlines Following E*Trade’s Apparent Freeze
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After Nearly 4 Years of Regulation Best Interest, Broker-Dealer Efforts to Consider Reasonably Available Alternatives for their Retail Clients Remain Lacking
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Despite FINRA’s Increased Fines in 2023, the Number of FINRA’s Disciplinary Actions Continued Their Downward Trend
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E*Trade’s Platform Was Down While “Meme Stock” Leader “Roaring Kitty” Woke Up
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AI, Oh My – SEC Announces First Ever “AI Washing” Enforcement Actions
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Robinhood Crypto Received a SEC Wells Notice Regarding Alleged Unregistered Sale of Securities
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Unauthorized Electronic Transfers Claims Under the UCC and EFTA
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NYSBA’s Current State of Crypto Cases Panel
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Pending Ethereum Spot ETF Applications – Will the SEC Approve or Deny Them?
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Malecki Law Files a Public Comment in Response to FINRA’s Latest Proposal to Modify Rule 3240 to Strengthen the General Prohibition on Borrowing and Lending Arrangements Between Brokers and Their Customers
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Crypto ETFs by a Little Bit – BitWise is up Next
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Grayscale may have won its ETF battle with the SEC, but can it win the war between crypto and the U.S. financial system?
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Crypto ETFs In Your Traditional Brokerage Account… What Could Go Wrong?
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Slow Progress for Women in the Financial Services Industry
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What if a Big Firm Misrepresents Its DEI Initiatives?
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Theft in My Coinbase Account – What Can I Do Now?
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Can My Broker or Investment Advisor Sell Me Cryptocurrency?
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New York City Bar Association’s 20th Annual Small Law Firm Symposium
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What Does a Defective Securities Product Look Like? Example: GWG Holdings L Bond
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Surely My Financial Advisor Has an Insurance Policy to Protect Me When Things Go Wrong, Right? Not So Fast…
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Know Your Custodian – Uniform Transfers and Gifts to Minors Acts
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Should Sports Betting Fall Under Securities Regulatory Scrutiny?
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Reg D Fraud Lawyers Can Help Recover Trillions of Investor Losses
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The Impact of Cloud Computing on the Securities Industry
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Elder Investment Fraud and Exploitation
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Brokerage Firm JSC’s Supervisory Failures – What Not to Do
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How Might a Brokerage Firm Fail to Supervise Its Brokers’ Misconduct?
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Jenice L. Malecki Speaking on Discovery Issues In Securities Arbitration this Thursday at Live CLE Event – Registration Still Open
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New York State Bar Association’s Securities Arbitration Committee to Host Lunchtime Panel: “Representing Employees in the Securities Industry”
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Malecki Law is Proud to Announce the Hiring of New Associate Jacqueline Candella
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Jenice Malecki Speaking Today at Securities Webinar CLE Event –Registration Still Open
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Malecki Law is in the News this Week and is in the Thick of Things Next Week Too!
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Jenice L. Malecki to Moderate PIABA Mid-Year Meeting on Getting Grandma’s Nest Egg Back
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Jenice L. Malecki, Co-Chair of the New York State Bar Association’s Securities Arbitration Committee, to Moderate a Timely Discussion on the Future of Investor Arbitrations
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Malecki Law Files Comment in Response to FINRA’s Proposed Modification to Rule 3240 Prohibiting Borrowing or Lending Arrangements Between Brokers and Their Customers
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Malecki Law Announces the Filing of an Expedited Group FINRA Arbitration Against Henley & Company, LLC, Claiming Henley Failed to Supervise its Recently Deceased Broker, Philip Incorvia, Who Allegedly Operated a Ponzi Scheme Out of a Henley Branch Office
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“Crypto Creep”: Retirees and Conservative Investors Are Discovering That Their Brokerage Accounts Are Becoming Increasingly Exposed to the Speculative Risks of Cryptocurrencies like Bitcoin. Your Financial Advisor Has a Duty to Disclose These Risks
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Attorney Jenice L. Malecki to Speak this Week on FINRA Expungements and Employment Arbitrations at the American Bar Association’s Women in Litigation Conference
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Investors Sue Wells Fargo for Failing to Supervise Ex-Broker Who Faces Up to Twenty Years in Prison for Role in $30 Million Cryptocurrency Ponzi Scheme
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Securities Attorney Jenice L. Malecki Quoted in Connection with Attorney General Warning on Faith-Based Affinity Scams
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Malecki Law Files Lawsuit On Behalf of Retired Investors Against Long Island Brokerage Firm Henley & Company LLC, Claiming Henley Failed to Supervise its Broker Philip Incorvia, Who Allegedly Operated a Ponzi Scheme for Fifteen Years out of a Henley Branch Office Until he Died
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Has Your Broker Employed an Options Trading Strategy That Suits Your Investment Goals and Priorities?
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Malecki Law Investigating Possible Ponzi Scheme or Misappropriation of Funds in Connection with Henley and Company LLC and its Financial Adviser Philip R. Incorvia
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Jenice Malecki Appointed as Co-chair of the New York State Bar Association Commercial & Federal Litigation Section’s Securities Arbitration Committee
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With Market Events Like Evergrande, Retirees Should Know That They Can Recover Investment Losses from Their Brokerage Firm
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Jenice L. Malecki Takes on Role as Adjunct Professor at New York Law School in its Securities Arbitration Seminar and Field Placement
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Yes, It is Possible to Negotiate a Reduced Punishment with FINRA Enforcement
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Investor Represented by Malecki Law Receives Maximum Whistleblower Award from SEC
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Is it Possible to Recover Stock Market Investment Losses? For Retirees Misled by a Broker, the Answer is Yes.
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SEC’s Amended Definition of Accredited Investor Creates More Opportunity, More Risk
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Malecki Law Investigating Multi-Million Dollar Ponzi Scheme That Preyed on Guyanese Community and Churchgoers
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SEC Action and Criminal Charges Brought Against Michael Barry Carter of Morgan Stanley
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What To Expect When You File a FINRA Arbitration Claim
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Can FINRA Arbitration Claims Be Brought Against a Bank and Its Employees?
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Can a Broker-Dealer Firm be Sued for Failure to Supervise a Broker?
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Can a Clearing Firm be Liable for Losses in an Investment Account?
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Can FINRA Arbitrations be Conducted Remotely by Live Video or Online?
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Volatility in U.S. Oil Prices – Can I Sue My Broker for Putting Me Into Risky Oil Investments?
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How Come My Portfolio Did Not Rebound With the Market?
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I Received A Rule 8210 Notice From FINRA, What Is Going On?
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Malecki Law Investigating Investor Losses in Oil and Energy Investments
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Virus Fears Have Thrashed the Markets
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Malecki Law Wins Appeal to Allow an International Investor at a Domestic and Foreign Brokerage Firm to Arbitrate at FINRA
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Why should I give the SEC everything they have requested?
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The Wolves are Still on Wall Street: What is Going on at Paulson Investment Company LLC?
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“Sophisticated” Investor Represented by Malecki Law Awarded over $200,000 in a 2X Non-Traditional ETF Product Case against Network 1 Financial Securities and its 2X Twin Brothers
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Ponzi Schemes On the Rise?
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Recovering Customer Financial Losses from UBS’s Yield Enhancement Strategy (“YES”)
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Nomura Securities Agrees to $25-million Settlement for Allegedly Misleading Investors about Mortgage-Backed Securities
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House of Representatives Votes to Block Controversial Regulation Best Interest
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Former Broker Jovannie Aquino Barred for Allegedly Churning Customer Accounts
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Elite Universities Offer Personal Finance Education, Highlighting More Awareness of the Importance of Financial Literacy
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The SEC Collects Only Around Half of Fines
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The SEC called me, should I talk to them?
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San Diego-Based Investment Advisor with Criminal Past Allegedly Defrauds Investors in Ponzi Scheme
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Broker Alert! FINRA Suspended Corey Lee Mireau for Allegedly Burrowing Customer Money
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Malecki Law Securities Attorneys Lobby for Investor Rights on Capitol Hill
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Two Whistleblowers Win $50 Million Award from SEC for their Smoking Gun Evidence
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Texas Christian Radio Host Allegedly Runs $19.6 million Ponzi Scheme Targeting Christian Senior Retirees
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The DOJ Announces Largest Elder Fraud Sweep After Reports of Increasing Elder Financial Exploitation
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FINRA Broker Charged for Churning Multiple Accounts, Even on the Day of a Customer’s Death
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Top Signs of a Ponzi Scheme and How to Respond
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How Do I Recover My Investment Losses in FINRA Arbitration?
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FINRA’s 2019 Risk Monitoring and Examination Priorities Letter
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How Do I Know If My Broker Diversified My Portfolio?
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Insurance Churning: Beware When Your Broker Recommends Replacing Your Variable Annuity Policy
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The Government Shutdown Stalls the Securities and Exchange Commission’s Enforcement Activity After Impressive 2018 Achievements
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Barclay PLC Fined After CEO Allegedly Tried to Find Anonymous Whistleblower’s Identity
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What is the Difference Between a SEC Subpoena and a FINRA 8210 Request?
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Deloitte in Cross-hairs of Shareholder Dispute in India for Alleged Collusion
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Luxury Real Estate Developer Pleads Guilty to Wire Fraud in Alleged 58-Million-Dollar Ponzi Scheme
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Offshored and Offloaded: A cautionary tale for both Private Equity Investors and Portfolio Companies
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Brokerage Firms May File Inaccurate U5s to Ruin Former Securities Employee Records, According to Bloomberg Article
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Barred Financial Advisor Dawn Bennet Convicted in Ponzi Scheme Following Unsuccessful Hoodoo Spells
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Malecki Law Wins Award and Expungement for Brokerage Industry Professional, Resolving FINRA’s Oldest and Longest Active Arbitration Case in History
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Former Financial Advisor Runs Fraudulent Scheme Targeting Vulnerable Elderly Investors
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What Are ETFs, Exchange-Traded Funds, and How Do They Work? Are ETFs Safe or Risky? Not All ETFs Are Created Equal
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Three Men Indicted in $364 Million Ponzi Scheme Involving Consumer Debt
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CNBC’s show American Greed Features Jenice Malecki’s Commentary on Religious-Based Financial Fraud
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Marijuana Related Investment Fraud on The Rise: Watch Out for Unregistered Securities
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Broker Alert! FINRA banned alleged Ponzi Scheme Perpetrator Steven Pagartanis
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FINRA Arbitration Panel Awards Malecki Law Broker Clients 28 Customer Complaint Expungements
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How Much Time Does It Take for SEC Whistleblowers to Receive an Award? Too Long
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Jenice Malecki to Make Second Appearance on CNBC’s American Greed
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Pension Plan Recipients Added to Victims of Alleged Hector May Ponzi Scheme in Malecki Law’s Recently Filed Amended FINRA Arbitration Complaint Against Securities America, Inc
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Another brokerage firm, Alexander Capital L.P Has Been Charged for Failing to Properly Supervise Brokers for Fraudulent Activity Harming Investors
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Malecki Law Featured in Financial Planning Article for Insights on Alleged Hector May Ponzi Scheme, Eye Towards Educating Victims
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Are Private Placements a Tool for “Troubled Brokers”? That’s What a Wall Street Journal Study Suggests
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“Where’s My Order?” Apparently, Merrill Lynch Customers Had No Idea: Merrill Lynch Agrees to Pay $42 Million Settlement For Allegedly Re-Rerouting Customer Orders To Electronic Platforms And Creating False Reports
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Malecki Law Announces the Filing of an Expedited Group FINRA Arbitration Against Securities America, Inc. for NINE Defrauded Investors Claiming Failure to Supervise Alleged Ponzi Schemer Hector May
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How can I get a customer complaint or customer arbitration removed from my CRD/BrokerCheck?
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My Money Was Stolen Out of My Brokerage Account, What Can I Do? Malecki Law Files Claim Regarding Identity Theft Fraud in Brokerage Account
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Hector May’s Alleged Ponzi Scheme: Malecki Law Investigating, Lohud Interested
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Are My Investments Losing Money Because of the Market or Am I Just in the Wrong Investments?
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Malecki Law Investigating Possible Ponzi Scheme and/or Misappropriation of Funds by Financial Adviser Hector May
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Help! I Just Lost My Entire Investment in the VIX
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My Brokerage Firm Put Me on Administrative Leave; Am I Going to be Fired? What do I do?
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Huge Win for Investors and Malecki Law Against Morgan Stanley
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Did Seadrill Leave a Hole in Your Investment Portfolio?
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What Can We Learn About Investing from NBA-Legend Tim Duncan? – Part 2 of 2
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What Can We Learn About Investing from NBA Legend Tim Duncan? – Part 1 of 2
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What is There to Gain From Being a Whistleblower?
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Can I Sue My Financial Advisor for Elder Abuse?
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Can I Sue My Brokerage Firm for Filing a False Form U5?
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Is my Financial Advisor Allowed to Trade in my Account Without my Permission?
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Brokerages Are Making Brokers More Powerful: How Will That Effect The Securities Industry?
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FINRA Bars Broker Involved in New York Pension Fund Scandal
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You May Know About Your Broker, But How Much Do You Know About Your Brokerage Firm?
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Rhode Island Financial Advisor Sentenced to 7 Years in Prison for Ponzi Scheme
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AARP Fraud Watch Network Publishes a New Study About Who Is Vulnerable To Elder Fraud
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BROKER REPORT: Financial Advisor Matthew Maczko
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Jenice Malecki Makes An Appearance on CNBC’s American Greed
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Common Types of SEC Investigations That May Result in You Receiving a Subpoena
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How Long Does The SEC Subpoena Process Take?
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I Received a Subpoena from the SEC – What Will I have to Produce?
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6 Telltale Signs of a Bad Investment
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BROKER REPORT: Financial Advisor Solomon David Krispeal
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Windsor Street Capital and AML Officer Charged By SEC
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FINRA Sanctions Broker James Speno
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SEC Bars Registered Representative Ane Plate For Theft of Client Funds
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SEC Bars Michael Breton for “Cherry-Picking”
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Morgan Stanley Reportedly Terminates Three High Producing Brokers
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Figuring Out the Fiduciary Rule in the Trump Administration
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Two Wells Fargo Brokers Barred from the Securities Industry
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Consumer Report Reveals How Brokerage Firms Misrepresent Their Services
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BROKER REPORT: Financial Advisor Matthew Meehan
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BlackRock Charged By SEC For Removing Whistleblower Incentives In Employee Separation Agreements
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Elder Financial Exploitation by Guardians
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How Will These Election Results Effect the DOL Fiduciary Rule?
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FINRA Fines 8 Broker-Dealers For Failures of Supervision Over Variable Annuities
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Malecki Law Investigates Variable Universal Life Insurance Policies
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FINRA Investigates Cross-Selling at Broker-Dealers
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Updated:
Jenice Malecki Will Be A Panelist At An Upcoming Unique National Investor Town Hall Meeting
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BROKER REPORT: Former UBS Broker Jeffrey Howell Barred by FINRA
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Updated:
UBS Fined for Sales of Complex Investments
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Morgan Stanley Charged for Unethical High-Pressure Sales Contests
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Updated:
Jenice Malecki Speaks at PLI’s Securities Arbitration 2016
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Updated:
The SEC Has Brought Charges Against Two Executives for Accounting Fraud in Nicholas Schorch’s flagship REIT Company
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BROKER REPORT: Anthony Librizzi Suspended By FINRA
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BROKER REPORT: Financial Advisor Megan Resch
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BROKER REPORT: Financial Advisor Robert Austin McAllister
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Updated:
Potential Claims for Investors in Merrill Lynch Structured Notes
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BROKER REPORT: Financial Advisor Christopher B. Ariola
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BROKER REPORT: Anthony Joslin
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Updated:
Top Wealth Managers with Questionable Records
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BROKER REPORT: Brett Baffa
:
Updated:
FINRA Files Complaint Against Broker Craig Dima for Unauthorized Trades in a Senior Citizen’s Securities Account
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Updated:
FINRA Fines UBS Financial Services, Inc. $250,000 For Mutual Fund Supervisory Failures
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Updated:
FINRA Suspends Broker Joseph L. Bess, II for Mismarking Order Tickets
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Updated:
Why Are University Retirement Plans Attracting Lawsuits?
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Updated:
BROKER REPORT: Financial Advisor Robert E. Heath
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BROKER REPORT: Financial Advisor Steven M. Wisniewski
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Is Your Broker Or Investment Advisor Giving You The Real Picture About Bonds and Fixed Income Investments?
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BROKER REPORT: Financial Advisor Michael A. Margiotta
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FINRA Announces Complaint Filed Against Hank Mark Werner Alleging Churning of Elderly and Blind Client’s Account
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BROKER REPORT: Rocco Guidicipietro
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BROKER REPORT: Financial Advisor Alexander P. Brown III
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BROKER REPORT: Aegis’ Robert Guidicipietro
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Broker Report: Steven Syslo
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BROKER REPORT: Anthony Manougian
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Updated:
BROKER REPORT: Financial Advisor Barry D. Abrams
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Jenice L. Malecki to Address the Securities Experts Roundtable This Weekend
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BROKER REPORT: Christopher A. Jones
:
Updated:
FINRA Announces $950,000 Fine to Prudential Annuities Distributors, Inc. for Supervisory Failures
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BROKER REPORT: Oppenheimer & Co.’s Joseph Iovino
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Updated:
Malecki Law: In The News
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Preferred Apartment Communities Inc.’s Nontraded Preferred Shares May Carry Risks for Investors
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BROKER REPORT: Joseph Amalfitano of Raymond James
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Updated:
BROKER REPORT: Former Pruco Securities Financial Advisor Winston Wade Turner Barred from Associating with any FINRA Member
:
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Product Spotlight: AR GLOBAL REITs
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BROKER REPORT: Financial Advisor Geri Delfino
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BROKER REPORT: Sterne Agee’s Chad Karl
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Updated:
Malecki Law Obtains Full Net Out-Of-Pocket Damages for Senior-Aged Client in FINRA Arbitration
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Updated:
BROKER REPORT: Financial Advisor Catherine A. Sheridan Named in Arbitration Proceedings
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Updated:
BROKER REPORT: Wells Fargo’s Robert Ross
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BROKER REPORT: FINRA Files Case Against Financial Advisor Richard William Martin for Recommending Non-Traditional ETFs
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BROKER REPORT: Financial Advisor Brandon Gioffre Barred from Conducting Securities Business
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Updated:
BROKER REPORT: Merrill Lynch’s Paul F. Kane
:
Updated:
Morgan Stanley Broker Armando Fernandez Suspended by FINRA
:
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BROKER REPORT: Financial Advisor Kenneth Daley Barred from Conducting Securities Business
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Updated:
BROKER REPORT: Clark Gardner Barred by the SEC and FINRA
:
Updated:
Risky Investments Begin to Show Losses in Wake of Brexit
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Updated:
Post-Brexit Drop In The Market: Should It Raise Concerns For Investors?
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Updated:
BROKER REPORT: Former Legend Securities Financial Advisor Walter Marino
:
Updated:
Interesting Findings About Elderly Fraud by FINRA and AARP; Jenice Malecki Speaks About Elder Financial Fraud on Community Television Show
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Trust Funds: Potential Playground for Abusive Financial Advisors
:
Updated:
New Study Finds Financial Fraudsters Who Evoke Emotions May Be Able to Bilk More Money from Senior Investors
:
Updated:
New Fiduciary Rule to Protect Retirement Investments
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Updated:
New Study Reveals: 7% of Financial Advisers Are Guilty of Misconduct. How Safe Are You?
:
Updated:
Customer Complaints Against Broker John T. Keyser
:
Updated:
FINRA Bars Chicago Broker George E. Johnson Over Allegations of Fraud and Stock Manipulation
:
Updated:
Broker Transition Part 2 – Are Your Clients Really Yours? Navigating the Protocol
:
Updated:
SEC Announces Significant Settlement With Massachusetts-Based PTC, Inc. Regarding Foreign Corrupt Practices Act Allegations
:
Updated:
Highland Funds Energy Master Limited Partnerships Post Significant Losses
:
Updated:
FINRA’s 2016 Priorities: FINRA is Searching for Sales Practice Issues
:
Updated:
INVESTIGATION ALERT: Malecki Law Announces Investigation Into Investor Losses in Oil Linked Structured Notes
:
Updated:
Investor Recovery Options for United Development Funding Investors
:
Updated:
SEC Announces 2016 Priorities that Involve Securities Industry Participants
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Updated:
Broker Transition: The Upfront Bonus/Forgivable Note
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Updated:
A Summary of FINRA’S Regulatory Priorities in 2016
:
Updated:
FINRA FOCUS: Senior Investors
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Updated:
MainStay Cushing Master Limited Partnerships and Energy Equity Funds Post Significant Losses
:
Updated:
Investor Recovery Options As Tortoise Capital Advisor Funds Suffer Losses
:
Updated:
BROKER REPORT: M&T Securities Financial Advisor Christopher T. Fenton
:
Updated:
BROKER REPORT: Wells Fargo’s Gregg Lazarescu
:
Updated:
Potential Recovery Options for OncoMed (OMED) Investors
:
Updated:
How Can Securities Lawyers Be Better Prepared To Work With Diminished Capacity and Assess Financial Capacity?
:
Updated:
BROKER REPORT: John Keyser of Dawson James Customer Complaints
:
Updated:
Jenice Malecki Featured in today’s FundFire Story Involving Morgan Stanley
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BROKER REPORT: Scott Teich of Raymond James in Florida
:
Updated:
Customer Complaints Against Brian J. Gold of UBS in Florida
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Case Announcement: Malecki Law Obtains Summary Judgment Dismissal For Chinese Inventor Sued by Hedge Fund
:
Updated:
Malecki Law Investigating Oil and Gas MLP Losses
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Updated:
How Financial Advisors Can Better Protect Elderly Investors
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Broker Report: David H. Bindelglass of Morgan Stanley
:
Updated:
Jenice Malecki on Bill Singer’s Show Today
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Updated:
This Week At Malecki Law
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Elder Fraud Week at Malecki Law
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Updated:
Malecki Law Attorneys Spread Awareness About Elder Exploitation
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Updated:
PIABA Study Reveals that FINRA’s Effort to Curb Broker Record-cleansing Has Not Been Met With Success
:
Updated:
Jenice L. Malecki Moderated A Panel Today at PIABA
:
Updated:
I Have Just Been Fired By UBS in Puerto Rico. What Do I Do?
:
Updated:
BROKER REPORT: Timothy L. Pilkington Is Barred from the Securities Industry
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Updated:
BROKER REPORT: Robert Emmet Gill Is Fined $5,000 and Suspended from the Securities Industry for 30 Days
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Updated:
BROKER REPORT: Jeffrey G. Lyon, formerly of Joseph Gunnar & Co.
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Updated:
Malecki Law Attorneys, Jenice Malecki & Bob Van De Veire, Named Top Attorney & Rising Star by Super Lawyers in 2015
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BROKER REPORT: Rudolf Malebranche Is Fined $5,000 and Suspended from the Securities Industry for Three Months
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Updated:
BROKER REPORT: Ameriprise’s Thomas E. Stratton-Crooke of Ohio Suspended By FINRA
:
Updated:
LPL Financial Settles Disputes at Tune of $3.2 Million, More Fines May Be Coming
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Updated:
BROKER REPORT: Cambria’s Robert H. Potter, Discharged and Barred
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Updated:
New FINRA Rule Designed To Help Protect Seniors And Other Vulnerable Investors
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Updated:
BROKER REPORT: Former California-based Raymond James Broker James Belenis Suspended by FINRA
:
Updated:
FINRA Crackdown on Broker Migration: 10 Former Global Arena Representatives Sanctioned After On-site exam
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Updated:
BROKER REPORT: Customer Complaints Against James Bracey
:
Updated:
Leveraged ETFs Remain a Risky Investment, Not Suitable for Most Individual Investors
:
Updated:
BROKER REPORT: Customer Complaints Against Financial Adivisor Jared Cohen
:
Updated:
BROKER REPORT: John Smallwood of Commonwealth Financial
:
Updated:
FINRA Cautions Investors of Financial Fraud On WhatsApp
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Updated:
BROKER REPORT: Joseph A. Miles Is the Subject of Third Customer Complaint
:
Updated:
Adam F. Coblin Is No Longer A Registered Broker and Financial Advisor and Has Been the Subject of Ten Customer Complaints
:
Updated:
Seven Complaints Against Broker and Financial Advisor Jeffrey A. Fladell
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Updated:
Senior-Aged Investors and other Conservative Investors Likely at Risk in Current Low-Yield Environment
:
Updated:
BROKER REPORT: Former Financial Advisor Manuel Dopazo
:
Updated:
Are We Still At A “Sweet Spot” for SEC Whistleblowers?
:
Updated:
BROKER REPORT: Over Ten Customer Complaints Against Michael Fasciglione
:
Updated:
Former Raymond James Financial Broker Paul F. Gans Jr. Suspended For Loaning Money to Clients
:
Updated:
Citigroup Affiliates Charged With Defrauding Investors Settle with SEC For $180 Million
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BROKER REPORT: Churning Complaints Regarding Dwarka Persaud
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Former Caldwell Broker, Richard Adams, Barred by FINRA for Churning Customer Accounts
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Malecki Law Announces Investigation into Dennis C. Lee, Former AXA Advisors Broker
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Former Park Avenue Securities, LLC Broker Robert Michael Diehl Suspended by FINRA
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Aegis Capital Fined By FINRA; Senior Management Suspended
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Broker Brian Berger Barred From Securities Industry Over Questions Concerning Misappropriation of Customer Funds
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This Week at Malecki Law
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Former Securities America, Inc. Broker Adrian S. Lauer Suspended and Fined
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Top Broker Thomas Buck: First Fired, Now Barred
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Massachusetts Charges Securities America and Broker Barry Armstrong over Misleading Radio Ads Aimed at Seniors
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This Week At Malecki Law: Attorneys Submit Letters to Members of the Congress to Advocate for Department of Labor’s Proposal Seeking to Hold Financial Advisors to a Higher Standard
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I’m FINRA Licensed and Under Internal Investigation: What Should I Do?
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Four Brokers Barred from Securities Industry in Settlement with FINRA Over Misrepresented Mining Industry Private Placement Investments
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California based Luca International Charged by SEC with Oil and Gas Ponzi and Affinity Fraud
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UBS Puerto Rico Brokers Expected to be Terminated Amid Significant UBS Closed-End Bond Fund Litigation
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SEC Charges Malcolm Segal Of Running Ponzi Scheme From His Pennsylvania Office
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Broker Keith M. Rogers Indicted on Securities Fraud Charges in Alabama
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What is Elder Abuse?
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New York based Arjent, LLC Executive Robert DePalo Indicted by Manhattan District Attorney
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Broker Dealer Financial Services Corp. Fined By FINRA Over Nontraditional ETF Sales and Improper Supervision
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Former Investment Advisor who Taught at University of Washington Pleads Guilty In Connection with Ponzi Scheme
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Can I Sue My Financial Advisor, Investment Advisor or Stockbroker?
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SEC Charges Rhode Island Broker and Financial Advisor Patrick Churchville with Ponzi Scheme
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FINRA Bars Former Wells Fargo Broker Nicholas Hansen Harper
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FINRA Looks To Come Down Harder On Brokers And Firms Making Unsuitable Recommendations to Customers
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Malecki Law Announces Investigation of Former PrimeSolution Securities, Inc. Brokers Jeffrey Gainer, Jerry Cicolani, Jr. and Kelly Hood
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JP Morgan Investigated By SEC and Other Authorities Over Sale of Proprietary Products
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Malecki Law Announces Investigation of Former LPL Financial Broker Charles Fackrell
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FINRA Alleges Substantial Fraud Claims Against Avenir Financial Group
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LPL Financial Settles Supervisory Failure Charges with FINRA for $11.7 Million
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Broker Stuart Conley Accepts Censure and Fine for Failing to Obtain Prior Written Authorization For His Discretionary Trading
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FINRA Files Complaint Against Lawrence LaBine
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What is an 8210 Request and What Do I Do If I Get One?
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FINRA Orders RBC Capital Markets, LLC to Pay $1.4 Million for Failing to Supervise Unsuitable Sales of Reverse Convertible Securities
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FINRA Fines H. Beck, Inc. for Insufficient Supervision
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FINRA Bars Wells Fargo Broker Aaron Parthemer for Outside Business Activities and Loans to Clients
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FINRA Censures EDI Financial, Inc. related to the Solicitation and Sale of Private Placements
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JP Morgan Securities LLC Financial Advisor and Broker Michael Oppenheim Charged with $20 Million Fraud by SEC
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FINRA Fines H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC for Failing to Supervise Consolidated Reports
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MetLife Broker Andre Paul Young Suspended By FINRA
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Malecki Law Announces The Filing of A $10 Million FINRA Claim Against UBS On Behalf Of Two Former UBS Puerto Rico Brokers
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FINRA Fines Oppenheimer & Co., Inc. $3.75 Million for Failing to Supervise Broker
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FINRA Censures And Fines Merrill Lynch For Financial Industry Rule Violations
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UBS Puerto Rico Held Meeting Telling Financial Advisors to Sell UBS Closed-End Bond Funds Despite Concerns
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Expungement is Often One of the Only Tools Available to Brokers When Their Record is Tarnished by a Firm’s Proprietary Products Failure
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SEC Requests “Massive” Amount of Documents from Girard Securities Concerning Supervision of Registered Persons at Dispersed Branch Offices
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Broker-Dealers May Be Held Liable, If Found To Have Misled Brokers About a Product
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Brokers in Product Cases Can Be Victims Too
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NY Hedge Fund a Total Loss – Manager is “Truly Sorry”
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White House Takes a Closer Look at Brokers Who Manage Retirement Accounts
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Investors in Diversified Lending Group May Be Able to Pursue FINRA Arbitration to Recover Losses After Class Certification Bid Was Rejected
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My Company Just Stiffed Me Out of My Bonus: Can I Sue?
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Risks of Self-Directed IRAs and Third-Party Custodians Underlined
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As Oil Prices Drop, Investors Lose Millions
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Merrill Lynch Fined For Fair Pricing and Supervisory Violations
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Citigroup Fined for ETF Prospectus Failures
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Malecki Law is Investigating Possible Claims Related to the Sale of Shares of Amarin
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Wall Street Journal Investigation Uncovers “Hot Spots” Where Brokers With “Disciplinary Red Flags” Accumulate
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Malecki Law is Investigating Possible Claims Against Craig Scott Capital
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SEC Charges Robare Group with Fraud For Failing to Disclose Fee Arrangement with Broker-Dealer
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Are Some Customers Paying Too Much In Fees? The SEC Cracks Down on Linkbrokers
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Are We Coming Up On A “Sweet Spot” for SEC Whistleblowers?
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Bitcoin Update: Alerts and Guidance Issued by the SEC, FINRA and IRS
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Oil and Gas Limited Partnerships Can Be Extremely Risky Investments
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Is Your Broker Charging You A Fair Commission?
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Biggest Recent FINRA Fines Point to Poor Supervision at Large Broker-Dealers
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Managed Futures Fund Fees: When Is Enough Enough?
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FINRA Files LPL Financial for Failures to Supervise Alternative Investments
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Whistleblower Due To Receive $63+ Million Reward
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Jenice Malecki Of Malecki Law Heads To Washington To Meet With Congressmen And Senators About Investor Protection
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Bitcoin Appears Headed for Regulation
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Berthel Fisher and PNC Fined In Connection With The Sale Of ETFs
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Credit Suisse Group AG Admits to Providing Brokerage and Investment Advisory Services Without Registering with the SEC
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All Eyes On The SEC After Recent Losses
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Buyers Should Beware when Considering Investments Involving Bitcoin
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I Just Got An SEC Subpoena: Now What Happens?
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Steep Market Selloffs May Uncover Risks in Accounts Such as Adverse Consequences of Margin
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Leveraged and Inverse ETFs Can Spell Trouble for Investors Who Buy Them and Brokerage Firms Who Sell Them
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Jenice Malecki to Appear on Fox Business News with Dennis Kneale
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Jenice Malecki to Appear on Fox Business Channel
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Jenice Malecki to Appear on Fox Business News with Dennis Kneale
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SEC Awards Whistleblower $14 million in Largest Award to Date
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REIT Investment on the Rise – But Is That a Good Thing?
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Criminal Charges Filed Against SAC Capital Adisors
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Maxwell B. Smith Sentenced for Running a New Jersey Ponzi Scheme: Investors Should Look to His Brokerage Firm for Relief
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LPL Reportedly Under Fire From State Regulators
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Jenice Malecki to Appear Tonight on The Willis Report on Fox Business
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Jenice Malecki to Appear on Fox Business News on March 21, 2013 at 5pm – Topic: SEC Digging Into Fund Fees
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Jenice Malecki of Malecki Law Speaks with the Wall Street Journal About “Ending Up In Arbitration”
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Regulators Consider High-Frequency Trading as Potentially Wash Sale Transactions
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FINRA Fines Ameriprise and its Clearing Firm $750,000 For Failing to Supervise Jennifer Guelinas
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Citigroup Reportedly Agrees to Settle Class Action For $730 Million
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FINRA Permanently Bars Florida-Based Broker Jeffrey Rubin for Unsuitable Investment Recommendations to NFL Players
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Jenice Malecki Appears on NBC’s TODAY SHOW on March 14, 2013
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Investors Should be Wary of Student Loan Securities Investments
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Jenice Malecki of Malecki Law To Appear On On The American Radio News Afternoon Drive Show With Ernie & Rachel to Discuss The SEC’s Current Investigation of Chesapeake Energy’s Aubrey McClendon
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Wells Fargo Advisors, LLC is Ordered to Repurchase Fannie Mae Preferred Shares in FINRA Arbitration
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UBS to Reclassify Bond Investors as “Aggressive”
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Apple Reverse Convertible Notes Mean Potentially Huge Losses for Investors Who Bought Them From UBS and Other Banks
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Falling Timber: Timberland REIT Reportedly Plunges In Value
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Give My Receipts to Broadway: NY Musical Producer Accused of Fraud and Breach and Contract
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Closing Bells and Whistles: Accusations of Churning Emerge Within Morgan Stanley Smith Barney
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A Raft of Risks: Assessing FINRA’s New Alert on Exchange Traded Notes
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Peregrine Captured Mid-Flight: PFGBest Brings New Focus to Futures Industry Regulation
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Drawing Outside the Lines: Contrasts in Evolving Definitions of “Insider Trading”
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‘Federal Ex’ Pressed: What Tim Geithner’s Testimony Illustrates About Regulation Reform
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PLI Securities Arbitration 2012
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Moving Units: What JPMorgan Can Teach Us About Banks Selling Their Own Mutual Funds
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London Calling: Understanding British Policy Toward Trading Risks
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Regulation Emancipation: How Fining Barclays Created New Support for Increased CFTC Capability
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Unfriended: Grasping the Class Action Lawsuit of NY Investors Against Facebook and Its Underwriters
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Hedging Their Bets: Understanding Corporate Loopholes in the Dodd-Frank Act
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FINRA Fines Brookstone Securities $1 Million Dollars and Permanently Bars Two Individuals for Fraudulent Sales of CMOs
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CBS Evening News Will Be Featuring the Lawsuit filed by Malecki Law relating to Alleged Ponzi Schemer Robert Van Zandt
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FINRA Fines Citigroup Global Markets $3.5 Million for Providing Inaccurate Performance Data Related to Subprime Securitizations
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Fixed Leaks: Insider Trading and How It Affects Your Investment Strategies
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New York Attorney General Announces Civil Suit Against Van Zandt to Recover Funds for Investors
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New York Attorney General Announces the Arrest of Robert Van Zandt
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Malecki Law Investigates Unsupervised Sales of Leveraged and Inverse ETFs
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Malecki Law Announces Investigation Into the Unsuitable Sale of KBS Property Trust REIT to Investors
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Malecki Law Announces Investigation Into Credit Suisse’s TVIX Exchange Traded Notes
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Malecki Law Announces an Amendment to the Civil Complaint with FINRA Against MetLife Securities, Inc. in Connection with Alleged Ponzi Schemer Robert H. Van Zandt
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Investor Complains About Behringer Harvard REIT
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Trouble with Behringer Harvard REIT Family
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FINRA Files Wells Fargo for Unsuitable Sales to Elderly Customers
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In Light of MF Global: Knowing the Risks of European Investment
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Malecki Law Announces Filing of a Civil Complaint with FINRA Against MetLife Securities, Inc. in Connection with Alleged Ponzi Schemer Robert H. Van Zandt
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Watching the Watchers: Charting the SEC’s Increased Pursuit of Negligent Execs
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Malecki Law Announces Investigation into Leveraged and Inverse ETFs
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Malecki Law Announces Investigation of Citigroup’s FALCON and ASTA-MAT Hedge Funds
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Malecki Law Announces Investigation of 1861 Capital Management
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Malecki Law Announces Investigation of Reverse Convertible Notes
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Malecki Law Announces Investigation of Desert Capital REIT
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FINRA Fines Merrill Lynch $1 Million for Supervisory Failures that Permitted a Registered Representative to Operate a Ponzi Scheme
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Malecki Law Announces Investigation of Fannie Mae and Freddie Mac “Preferred Stock”
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Malecki Law Announces Investigation of Carr Miller Capital LLC
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Malecki Law Announces Investigation of David Lerner Associates and Apple REITS
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Malecki Law Announces Investigation of LaeRoc Income Funds, LP
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All in the Timing: What Judge Rakoff’s Decision Against Madoff’s Trustee Teaches Us About Managing Our Securities
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Casting a Wider Net: Deconstructing the Supposed “Winners” and “Losers” of Investment Fraud
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The Incredible 9/11/01 Story
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FINRA Fines Three New York Based Broker-Dealers For Mischaracterizing Customer Fees
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Is my account down because of the market, or is it something else?
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Malecki Law Announces Investigation of IRA Services Trust Company and Fiserv, Inc. Arising Out of Investments with the Van Zandt Agency
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FINRA Issues Regulatory Notice 11-39 to Address Business Use of Social Media Websites
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New SEC Whistleblower Rules Become Effective
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FINRA Rule Proposal Could Set the Stage For Broker Class Actions
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FINRA Warns Investors to Watch Out For Hot Investments
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Kovel Rule no Guarantee of Accounting Privacy in New York Audits and Investigations
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Market Fundamentals Make Experienced Real Estate Advice Essential for New York Investments
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Embedded Regulators Increase Wall Street Enforcement Efforts
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A New York Resident’s Intervention Helps Bring Settlement With Hedge Funds
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HSBC Pays $62.5 Million to Settle Allegations of Securities Fraud in New York
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SEC Warns of Investment Risk Involving Reverse Merger Companies
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Goldman Sachs Pays $10 Million to Settle Allegations of Questionable Investor Relations
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Outrageous ETFs: Not Appropriate for All Investors
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Tourre/Goldman Sachs Face New York Securities Fraud Case with More Questions than Answers
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Two More Financial Professionals Plead Guilty in Insider Trading Scheme
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Former Heads of Jenkins & Gilchrist and BDO Seidman LLP Convicted of Tax Shelter Fraud in New York Federal Court
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SEC Approves New Whistleblower Rules to Provide Cash Award to Insiders Who Report Securities Fraud
New York Securities Fraud Lawyers Blog