Steven Malina

Practice Areas

Litigation

Financial Services Litigation

Financial Regulatory & Compliance

Banking & Financial Services

Securities Litigation

Federal Regulatory & Administrative Law

White Collar Defense & Special Investigations

Career

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.

Concentrations:

Financial services litigation

Financial services regulatory

Securities class action litigation

Corporate internal investigations and compliance

Commercial litigation and arbitration

Wrongful termination and compensation disputes

Anti-money laundering

Professional Memberships

Member, Midwest Chapter of the Association of Securities and Exchange Commission Alumni; Regional Co-Chair, 2015-2017; Co-Chair, 2008-2009

Member, American Bar Association; Former Editor, Securities Litigation Committee's Annual Broker-Dealer Litigation Survey

Member, Chicago Bar Association

Member, Illinois Bar Association

Member, Securities Industry Association Compliance and Legal Division

Member, National Society of Compliance Professionals

Publications

Listed, Chambers USA Guide, Litigation: Securities, 2021-2022

Personal

J.D., University of Illinois College of Law

M.B.A., University of Chicago

A.B., University of Michigan