Steven M. Malina focuses his practice on a variety of regulatory matters and financial services industry litigation, as well as hedge fund matters and general commercial litigation. He has represented broker-dealers, commercial banks, investment banks, investment management firms and public issuers, and their management and employees 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 of publicly traded companies. Additionally, he 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.
M.B.A., University of Chicago, 1993
J.D., University of Illinois College of Law, 1987
A.B., University of Michigan, 1983