Steven M. Malina

Steven M. Malina, a former Senior Attorney in the SEC’s enforcement branch, focuses his practice on a variety of arbitration, litigation and regulatory matters with a focus on representations of financial services industry clients. He represents broker-dealers, investment advisors, commercial banks, investment banks, investment management firms, and public issuers as well as their officers, directors and employees, in investigations and disciplinary proceedings initiated by the SEC, CFTC, FINRA, and state regulators. In addition, Steve represents clients in related investor class-action, and derivative actions. He has also conducted internal investigations on behalf of publicly-traded companies and represented committees and executive officers in investigations. Steve has extensive arbitration experience representing brokerage firms, their management and advisors, in customer-initiated cases and industry disputes, including wrongful termination and U5 defamation cases.

Prior to entering private practice, Steve also served as First Vice President and Deputy Regional Counsel for a large financial corporation.