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Steven M. Malina

Steven M. Malina, a former Senior Attorney in the SEC’s enforcement branch, focuses his practice on a variety of litigation and regulatory matters with representations of financial services industry clients, hedge fund matters, and securities and general commercial litigation. He represents officers, directors, broker-dealers, investment advisors, commercial banks, investment banks, investment management firms, and public issuers in investigations and disciplinary proceedings initiated by the SEC, CFTC, FINRA, FDIC, NYSE, CBOE, CME, and state regulators. In addition, Steve represents clients in related investor class-action, derivative, and other litigation and arbitration. He has also conducted internal investigations on behalf of publicly traded companies and represented committees and executive officers in internal investigations. Steve has represented brokerage firms and their management in customer-initiated cases, and injunction and arbitration proceedings. 

Prior to entering private practice, Steve served as First Vice President and Deputy Regional Counsel for a large financial corporation and was a Senior Attorney in the Branch of Enforcement of the U.S. Securities and Exchange Commission.

Programs by Steven M. Malina.

In 2021, the Securities Exchange Commission (SEC) announced its intent to prioritize cybersecurity, noting the increase in security breaches following the sudden shift to remote work due to COVID-19. In the past year, the SEC has been extremely activ...

Program Number
3297
Program Date
2022-05-10
Category
Banking & Finance LawBusiness Organizations & ContractsComputer, Internet & E-Commerce LawCorporate and Securities LawCybersecurityFederal CourtsFinancial RegulatoryFinancial ServicesFlorida EligiblePrivacy and Data Security
State
CaliforniaColoradoFloridaGeorgiaNew JerseyNew YorkTexas Self Study