Jenice L. Malecki

Jenice L. Malecki: Attorney with Malecki Law

Biography

ATTORNEY ADVERTISING
JENICE L. MALECKI, ESQ. is a New York based Securities Fraud Attorney and founder of Malecki Law, with other attorneys and staff. Her firm represents clients nationally and internationally in securities fraud arbitration, litigation and mediation. Ms. Malecki’s clients include a wide array of individuals and entities from elderly widows to Fortune 500 entrepreneurs and institutional investors. Her firm represents large securities industry whistleblowers at the SEC, DOJ and FINRA, handles securities industry employment and license issues, often involving CRD Form U-4/U-5, and regulatory investigations and enforcement proceedings before the SEC and FINRA. They handle commercial litigation, arbitration, mediation and appeals.
Since 2012, Ms. Malecki has been annually named a Top Attorney by Super Lawyers and the National Law Journal, and been featured in the Wall Street Journal, New York Times Magazine, New York Magazine, National Law Journal and other leading publications. Ms. Malecki has been an expert witness in arbitrations and litigations, and is a trained mediator. She also met with the offices of Senate and House of Representative members of Congress to advocate for the Investor Choice Act and other changes to the law.
Ms. Malecki has been a VP on the Board of Directors of the PIABA Foundation and is on FINRA’s National Arbitration and Mediation Committee (NAMC), advising its Board. She is a member of and has been on the Board of Directors (and an Officer of) PIABA. She has also been a FINRA arbitrator and Chairperson. Ms. Malecki has been a member of the Securities and Exchanges Committee at the New York City Bar Association, and the New York State Bar Association. She regularly speaks at the Practicing Law Institute (PLI), New York County Lawyers Association, Brooklyn Law School, St. John's Law School, and New York Law School, in addition to speaking annually at PIABA’s year-end conference.
Ms. Malecki regularly appears on TV, in the news and on the radio as a leading Securities Fraud attorney and expert. Her television credits include Wall Street Journal Live, NBC’s Today Show, Fox Business News, ABC’s Eyewitness News, Bloomberg Television, China TV, EBR TV and other syndicated shows and networks. She has also appeared on Steve Forbes’ in-flight radio show “America’s Most Influential Women in Government, Technology, Business, and the Law”, as well as other nationally syndicated radio programs. Her cases continue to be cited in numerous industry publications, including The Wall Street Journal, The New York Times, Forbes and Newsweek. Ms. Malecki is in an educational video clip about the arbitration process at FINRA, the Financial Regulatory Authority. Ms. Malecki’s career has been the subject of an article of Law Crossing.
Jenice L. Malecki’s experience as a New York securities attorney began in class action litigation, having worked on the famed class action case In re Crazy Eddie in the counsel’s office of the lead plaintiffs. Throughout the 1990’s she represented numerous broker dealers and was instrumental in regulatory matters involving well-known “boiler room” stock fraud characteristic of the era.

Areas of Practice (23)

  • Securities Litigation
  • Securities Arbitration
  • Securities Regulation
  • Securities Fraud
  • Commodities Litigation
  • Commodities Arbitration
  • SEC Enforcement
  • Broker-Dealer Regulation
  • White Collar Crime
  • Employment Law
  • Corporate Litigation
  • Complex Litigation
  • Business Fraud
  • Business Litigation
  • Small Business Law
  • Discrimination
  • Defamation
  • Commercial Litigation
  • Litigation
  • Real Estate
  • Regulation and Arbitration
  • Securities and High Level Executive Employment Issues
  • Real Estate Investments

Education & Credentials

Contact Information:
212-943-1233  Phone
212-943-1238  Fax
www.aboutsecuritieslaw.com
University Attended:
Manhattanville College, B.A., cum laude, 1988; National Institute of Trial Advocacy, 1993; NASD Regulation Arbitrator Training, Certificate, 1997
Law School Attended:
New York Law School, J.D., cum laude, 1991
Year of First admission:
1992
Admission:
1992, New York, Massachusetts, District of Columbia and U.S. District Court, Southern and Eastern Districts of New York; U.S. Court of Appeals, Second Circuit
Memberships:
Public Investors Arbitration Bar Association; New York State Bar Association; New York County Lawyers Association, The PIABA Foundation, FINRA'S National Arbitration and Mediation Committee
Languages:
English
Reported Cases:
Prior results do not guarantee a similar outcome.

$1,150,000.00: Rodney Beck (deceased), Rodney R. Beck Living Trust d 12-05-04, Stacey Beck, and Stacey Beck Living Trust ltd 12-05-94, Claimants vs. Investacorp, Inc., Investacorp Advisory Services, and William C. Artmann, Respondents; 12/4/07.Claimant, a former professional baseball player, alleged breach of oral and written contracts, violation of industry rules, respondent superior and failure to supervise, negligence and negligent supervision, breach of fiduciary duty, and common law and statutory misrepresentation and fraud. Claimants' allegations involved investments in various mutual funds, variable annuities and variable life insurance policies; $805,110.00: Duckkyu Chang, Kee Chang, et al. (Claimant) vs. McGinn, Smith & Co., Inc., Timothy M. McGinn, David Smith, et al (Respondents); 12/31/09. Claimants asserted the following causes of action: unsuitable investments, negligence, negligent supervision, breach of contract, violations of industry rules, failure to diversify, respondent superior, breach of fiduciary duty, fraud, misrepresentations, and omissions. The causes of action relate to private placement products, notes, and trusts; $630,357.00: Michaqel Steifman v. Merrill Lynch, Michael Hoffman, et al.; October 15, 2012.
Claimant, a Wharton Business School graduate and successful businessman asserted the following casus of action: fraud and misrepresentation, unsuitable investments, negligence, negligent supervision, breach of contract, violations of industry rules, failure to diversify, respondent superior, breach of fiduciary duty, fraud, misrepresentations, and omissions.
$475,375.00: Joseph and Tomas Sollitto, Claimants vs. Global Capital Securities, Corp., Respondent; 12/23/03. Claimants alleged fraud, misrepresentation, omission, unsuitable investment recommendations, negligence, negligent supervision, respondent superior and breach of fiduciary duty and constructive trust. Claimants' claims involved stocks; $467,000.00: Robert Ferrucci (Claimant) vs. McLaughlin, Piven, Vogel Securities, Inc., and Laurence T. Tulenko (Respondents); 9/14/06. Award was confirmed in the New York Supreme Court, New York County. Respondents appealed the decision, resulting in This landmark case (67 A.D.3d 405, 889 N.Y.S.2d 134) which issued into law the determination that, if a case is properly pled, FINRA Arbitrators can even in New York state award attorneys fees to a Claimant in their final resolution; $152,494.90: Bart Delgado Sabal (Claimant) vs. Sky Capital, LLC and Michael Passaro (Respondents); 6/26/07. Claimant asserted the following causes of action: fraud, misrepresentations, breach of contract, violation of industry rules including unsuitability , margin violations, churning, failure to diversify, negligence and negligent supervision, respondent superior and failure to supervise, violation of the Securities & Exchange Act of 1934, 15 U.S.C. Sections 78 et seq., and common law breach of fiduciary duty, fraud, and constructive trust; $132,315: David Kast & K.P.M., Inc. (Claimants) vs. Greenway Capital Corporation / Dominick DeLorenzo / Barry Morton Ferrari / Joseph M. Guccione / Fred Luthy (Respondents); 6/26/98. Claimants alleged that, in or about August 1995, when they opened accounts with Greenway through broker/registered representative DeLorenzo, he never inquired as to Claimants investment objectives or experience. Claimants also alleged that, in or about the early fall of 1995, DeLorenzo refused to execute a sell order of stocks in which Greenway was the market maker. Claimants further alleged that, after this incident, they opened an account with Dean Witter Reynolds, Inc. ("Dean Witter") and requested that DeLorenzo transfer their accounts. Claimant asserted that, on October 26, 1995, DeLorenzo coerced him to sign a letter which rescinded his transfer request. Claimants also asserted that, on two additional occasions, they again requested that their accounts be transferred. Claimants further asserted that Respondents forged or falsified Kast's signature or redated his letter of October 26, 1995 in an attempt to rescind Claimants' second and third transfer requests. Claimants contended that, on November 11, 1995, DeLorenzo and Greenway engaged in unauthorized trading in Claimants' accounts. Claimants also contended that, upon notification of these unauthorized trades in-their accounts, they immediately contacted the Compliance Department of Greenway to initiate an investigation. Claimants also contended that, through their actions, Greenway, DeLorenzo and Ferrari engaged in manipulative and deceptive devices or contrivances, common law fraud, common law breach of contract, common law recklessness in failing to follow instructions, common law negligence hi failing to follow instructions, and fraudulent conversion, as well as failure to supervise; $94,328.10: Alexandre Bibitchev, (Claimant) vs. LCP Capital Corp., Mario Romano, Dylan P. Jovine, John Kawas, Gregor Ricca. Michael Coulombre, Mark Barry Mazzer, Charles S. Stoffers, Mark Berg, Brandt J. Mandia, Kevin Brody, Anthony Alliotta, Peter Ungaro, Vincent Maritato, Mark George and Salvatore A. Martorano (Respondents); 7/31/01 Claimant asserted the following causes of action: violations of federal securities laws; failure to supervise; respondent superior; fraud; breach of fiduciary duty; breach of contract; control person liability; and negligence; $80,750: Susan Joan Mitchell vs. Bear, Stearns & Co., Inc. and Merrill Lynch; 7/19/07. Claimant, a public customer, alleges unsuitability, misrepresentation, negligence, and negligent supervision, breach of contract and breach of fiduciary duty with respect to investments in various equity mutual funds; $79,658.53: Mark and Bertha Kapetanakis (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., Rittenhouse Financial Services, Inc., and Douglas Lee Chin (Respondents); 5/2/06, Claimants asserted the following causes of action: breach of contract; breach of fiduciary duty; misrepresentations; omissions of fact; failure to supervise; negligence, and suitability. The causes of action relate to investment in Merrill Lynch's mutual funds and fees generated from a fee based account; $73,281.43: Josephine Pignato (Claimant) vs. Capital One Investments Services Corp. f/k/a NorthFork Investment Services LLC (Respondent); 11/3/10. Claimant asserted the following causes of action: breach of contract, unsuitability, over concentration, breach of commercial honor and good faith, respondent superior, failure to supervise, negligence, breach of fiduciary duty, fraud, and misrepresentation. The causes of action relate to the Oppenheimer Champion Income Fund; $50,000: MK & MK Corporation, (Claimant) vs. KSH Investment Group, Inc., Paul Dorfman, and Harvey Kohn, (Respondents); 8/12/02. Claimant asserted the following causes of action: federal securities laws violations; misrepresentations; unauthorized trading; margin violations; market manipulation; control person liability; respondent superior; omissions; failure to supervise; common law fraud; affinity fraud; churning; unsuitability; breach of fiduciary duty; negligence; and breach of contract. Claimant's claim involved a variety of stocks; $48,000.00: Jane Lee and Chang-Kang Lee, (Claimants) vs. Avalon Partners, Inc., Vincent Au, Samuel J. Agosta, Peter Bull, and Bradley G. Treichler, (Respondents); 5/22/02 Claimant asserted the following causes of action: misrepresentations; unauthorized trading; breach of contract; breach of fiduciary duties; control person liability; fraud; negligence; failure to supervise; and common law fraud. Claimants' claim involved the stock and/or options of America Online, Unisys, Value America, Informix, Inprise, and Mattel Inc; $40,142.50: Sami G. Naber and Wafa S. Naber, (Claimants) vs. Goldman, Lass Securities, Barry Sheldon Lass, and Rimon S. Dahdal, (Respondents); 4/9/02 Claimants asserted the following causes of action: federal securities law violations; misrepresentations; margin violations; control person liability; failure to supervise; respondent superior; common law fraud; churning; suitability; breach of fiduciary duty; negligence; and breach of contract. Claimants' claim involved the stocks of Just for Feet and Sonus Network, as well as other unspecified securities; $40,000.00: John Rathgeb (Claimant) vs. Joseph Stevens & Co., Inc., Steven Fisher, Anthony DeBenedictis and Ronald Goldfine (Respondents); 4/2/07. A portion of this claim was settled with certain parties before going to arbitration. Claimant asserted the following causes of action: fraud, misrepresentations, breach of contract, unauthorized transactions, violations of duties imposed by the Martin Act and NASD Manual, margin violations, failure to diversify, negligence and negligent supervision, respondent superior and failure to supervise, violation of the Securities and Exchange Act of 1934, breach of fiduciary duty, and churning. The causes of action relate to unspecified securities; $14,194: Qlga Bezprozvannaya and Sofia Shevel, JTWROS (Claimants) vs. Robert Thomas Securities, Inc., Timur Yakhin, Barren Chase Securities, and Dean Vernoia (Respondents); 6/2/99. Claimants alleged that, in October, 1994, Yakhin cold-called Shevel and Claimants' agent, Maria Ivenitsky ("Ivenitsky") to solicit their business and convinced them to invest at Baron Chase, promising them a low-risk, conservative investment strategy. Claimants alleged that, from November, 1994 through April, 1995, Yakhin engaged in unauthorized trading and deliberate transition into risky investments, without their knowledge and in contravention to their repeated requests for low-risk investments. Claimants further maintained that they did not know that Yakhin had deceived them into signing margin and/or option agreements since he claimed that their required signatures were mere formalities; $125,000: Michael M. Kownacki v. Morgan Stanley DW Inc; 6/04/07. Claimant, a former employee of Member firm Respondent, alleged wrongful termination, failure to pay compensation for business generated by Claimant and failure to pay severance benefits for termination of employment; $80,600: Janeice Hunt-Schmidt, (Claimant) vs. David Lerner and David Lerner Associates, Inc. (Respondents); 7/11/02. Claimant asserted the following causes of action: pregnancy and gender discrimination under Title VII of the Civil Rights Act of 1964 and the Pregnancy Discrimination Act, as amended in 1978; violation of the Family Medical Leave Act; violation of the Americans With Disabilities Act; violation of Article 15 of the New York Executive, Civil Rights and Human Rights Law; violation of New York Workers' Compensation Law; breach of implied contract; implied covenant of good faith and fair dealing; and promissory estoppel; intentional and negligent infliction of emotional distress; prima facie tort; and defamation; Expungement: Gregg D. Templeton vs. Morgan Stanley DW, Inc.; 2/01/08. Registered Representative Claimant against his former employer alleging defamation by maliciously amending Claimant's U-4 form, breach of contract, constructive discharge, breach of fiduciary duty, interference with economic relations and breaches of the implied covenant of good faith and fair dealing. Claimant's record was ultimately expunged; $47, 223,013 Counterclaim Award and Expungement: Wachovia Securities, LLC (Claimant) vs. Haran Brucker (Respondent); 8/19/08. Claimant asserted the following causes of action: nonpayment of promissory note. In his Counterclaims, Respondent asserted the following causes of action: defamation, breach of fiduciary duty, interference with economic relations, and breach of express and implied contract, breach of implied covenant of good faith and fair dealing, and conversion. He was awarded an expungement and his actual attorney's fees.

ISLN:
900969254
Hobbies & interests:
Ms. Malecki has acted, written and directed for Off-Broadway, Off-Off-Broadway and Community Theatre for over 30 years. She is a supporter of the Labyrinth Theater Company with esteemed company members the late Philip Seymour Hoffman, John Ortiz, Eric Bogosian, Stephen Adly Guirgis, John Patrick Shanley, Sam Rockwell, David Zayas and others. She has appeared in internationally recognized award-winning short and independent films and acted as lead vocals in live and recorded performances of All Too Human, a lyric band. In addition, Ms. Malecki has written, directed and produced short films and short plays that have been featured in festivals around New York City.
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  • Free Initial Consultation
  • Fixed Hourly Rates
  • Fixed Fees Available
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