Raymond Keith Malicki Allegedly Gained Access to, & Conducted Transactions in a Client’s Account at a Third Party Financial Institution

Raymond Keith Malicki allegedly gained access to, and conducted transactions in a client’s account at a third party financial institution, according to a Final Regulatory Action disclosed on Malicki’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The findings were reported stated on Oppenheimer & Co.’s amendment to Malicki’s Form U4, FINRA reports.

Malicki worked for Oppenheimer & Co. Inc. from Bethlehem, PA from August 3, 2018 until March 12, 2019. Malicki has also worked at the following firms:

  • Morgan Stanley, Easton, PA— June 1, 2009 to July 25, 2018
  • Citigroup Global Markets, Inc., Allentown, PA— July 31, 1993 to June 1, 2009
  • Lehman Brothers Inc., New York, NY—  June 16, 1992 to July 31, 1993
  • Hibbard Brown & Co., Inc., New York, NY— March 6, 1991 to June 9, 1992 (FINRA expelled Hibbard Brown on February 22, 1996)

Securities attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Raymond Malicki’s alleged actions in a client’s account.  Investors who believe they may have lost money in activity related to Raymond Malicki’s alleged actions in a client’s account are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Raymond Malicki Barred by FINRA for Allegedly Refusing to Provide On-the-record Testimony Related to the Amendment to His Form U4

Raymond Malicki allegedly refused to provide on-the-record testimony related to the amendment to his Form U4, according to FINRA.

Hence, Malicki allegedly violated FINRA Rules and thus has been barred indefinitely by FINRA, FINRA notes.

Malicki, without admitting or denying the findings, allegedly consented to the sanction and to the entry of findings that he refused to appear for FINRA on-the-record testimony during the course of an investigation after it received an amendment to his Form U4 filed by his member firm, FINRA states.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related misconduct and are currently investigating Raymond Malicki’s alleged actions in a client’s account. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Raymond Malicki’s alleged actions in a client’s account may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.