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BROKER INVESTIGATION DEFENSE LAWYERS
BROKER INVESTIGATION DEFENSE STRATEGIES Single‑Line Reality Check: If the SEC or FINRA sends you that terse letter—“we’re reviewing your activity”—it means the goverment already dug through months of chat logs, trade blotters, and compliance memos, and it believes you broke rules that carry fines big enough to shut an office, maybe prison time that steals years. We’re Spodek Law Group, […]
read moreHow Much Does a Criminal Defense Lawyer Cost in New York?
HOW MUCH DOES A CRIMINAL DEFENSE LAWYER COST IN NEW YORK? Spodek Law Group, which was created by Todd Spodek, is often asked about the costs of hiring a criminal defense lawyer in New York. This question that many people ask is important, because it can affect your future, your finances, and your peace of […]
read moreERC Audit Defenses
ERC AUDIT DEFENSES WE WON’T SUGARCOAT IT—the Employee Retention Credit (ERC) is a big deal, and if you claimed it wrong, you could be in serious trouble. The Internal Revenue Service (IRS) has been coming down strong on those who took ERC benefits that were not legally allowed. If you get audited and lose, you […]
read moreSEC SUBPOENAS AND WELLS NOTICES
SEC SUBPOENAS AND WELLS NOTICES SPODEK LAW GROUP, is a nationwide federal defense law firm created by Todd Spodek. We have over 50 years of combined experience, and our criminal defense attorneys are committed to helping people who face potential legal actions brought by the Securities and Exchange Commission (SEC). A subpoena that was issued […]
read moreWhat Happens If My Company’s Financial Records Are Subpoenaed?
WHAT HAPPENS IF MY COMPANY’S FINANCIAL RECORDS ARE SUBPOENAED? Subpoenas that were issued by federal agencies, like the Department of Justice or the IRS, can be scary. If you’re reading this, it’s because you need real answers. We are Spodek Law Group, a premier, and award winning, nationwide federal defense law firm created by Todd […]
read moreWhat to Do If a Grand Jury Subpoena Demands Your Notes or Emails
WHAT TO DO IF A GRAND JURY SUBPOENA DEMANDS YOUR NOTES OR EMAILS Don’t confuse yourself. A grand jury subpoena that was issued by a federal prosecutor is a big deal, and you can get into serious trouble if you ignore the grand jury subpoena. This isn’t the time to hope things disappear, because that […]
read moreWHAT SHOULD I DO IF I’M UNDER A FINRA INVESTIGATION?
WHAT SHOULD I DO IF I’M UNDER A FINRA INVESTIGATION? If you’re on this page, it’s because you—or someone close to you—has FINRA breathing down your neck. We get it. At Spodek Law Group, we understand the stress of being under a regulatory microscope. Our law firm handles complex financial and federal cases, and we’re […]
read moreWhat Happens If You Refuse to Testify Before a Grand Jury?
WHAT HAPPENS IF YOU REFUSE TO TESTIFY BEFORE A GRAND JURY? JURORS WANT THE TRUTH A grand jury that was convened to investigate possible crimes has the power to subpoena you. That means you might get a piece of paper ordering you to appear in court, and demanding that you tell them what you know. […]
read moreReceived a FINRA 8210 Letter? Steps to Take Immediately
FINRA 8210 LETTER Why You Need to Care About This If you work in the securities industry, you may have heard of a FINRA 8210 letter. This letter that was created under the rules of the Financial Industry Regulatory Authority (FINRA) can be a very big issue, because using it – FINRA can demand that […]
read moreWhat Happens if You Ignore a FINRA Inquiry?
WHAT HAPPENS IF YOU IGNORE A FINRA INQUIRY We’re Spodek Law Group, a nationwide federal defense law firm created by Todd Spodek, and we’re going to be brutally honest with you right now. Ignoring a FINRA inquiry that was delivered to you is a risk. This one move can put your entire career in jeopardy. […]
read moreI Got a FINRA Complaint – Can I Settle the Case Quietly?
AS SEEN ON MAJOR NEWS OUTLETS If you’re reading this, it probably means you got a FINRA complaint that was served on you, and you’re panicking about what might come next. You might be thinking you can fix it under the radar without anyone else knowing. You might be hoping you can just pay a […]
read moreFINRA WELLS CALL LAWYERS
FINRA WELLS CALL LAWYERS WHO WON’T TOLERATE EXCUSES If you’re on this page, there’s a strong chance you or someone you know has received a FINRA Wells Call. This is serious. No fluff. A FINRA Wells Call means a warning that was issued by the Financial Industry Regulatory Authority (FINRA Enforcement), telling you they are […]
read moreCan a Grand Jury Subpoena Lead to Medicare or Medicaid Fraud Charges?
CAN A GRAND JURY SUBPOENA LEAD TO MEDICARE OR MEDICAID FRAUD CHARGES? Yes, it can. That means, if you receive a grand jury subpoena that was sent by federal prosecutors, you could be at risk of serious legal trouble. At Spodek Law Group, which is a nationwide federal defense law firm created by Todd Spodek, […]
read moreFelony Falsification Of Business Records
FELONY FALSIFICATION OF BUSINESS RECORDS: WHAT’S AT STAKE You never think it will happen. One day, an investigator knocks on your door and accuses you of tampering with your company’s books, altering receipts, or hiding key information in financial statements. It sounds like a small detail, but felony falsification of business records is a serious […]
read moreFrequently Asked Questions by Brokers Under FINRA Investigation (FAQ Roundup)
FREQUENTLY ASKED QUESTIONS BY BROKERS UNDER FINRA INVESTIGATION (FAQ ROUNDUP) We are Spodek Law Group, a nationwide federal defense law firm that was created by Todd Spodek. If you’re a broker who was put on notice by FINRA (Financial Industry Regulatory Authority), you might be asking yourself how to handle this legal storm. We get […]
read moreCan the SEC Subpoena Me If I Live or Work Overseas?
CAN THE SEC SUBPOENA ME IF I LIVE OR WORK OVERSEAS? That question hits home for people who assume they are safe from U.S. regulators by moving across borders. The truth is not so simple. The Securities and Exchange Commission (SEC.gov), which is the federal agency tasked with enforcing securities laws, can and does extend […]
read moreHow Do I Know If I’m the Target of an SEC Investigation or Just a Witness?
HOW DO I KNOW IF I’M THE TARGET OF AN SEC INVESTIGATION OR JUST A WITNESS? The stakes are high. If the Securities and Exchange Commission (SEC.gov) has reached out to you, your life can change in an instant. One question often lingers in your mind: Am I the person they want to prosecute, or […]
read moreWhat Employees Should Know if Their Company Receives a Civil Investigative Demand
WHAT EVERY EMPLOYEE SHOULD KNOW IF THEIR COMPANY GETS A CIVIL INVESTIGATIVE DEMAND If you work at a company that was just served a Civil Investigative Demand (CID), you might be asking yourself one critical question: “What does this mean for me?” This is a common concern, especially if you’ve never heard of a CID […]
read moreWhat Happens If You Ignore or Refuse a Civil Investigative Demand?
CIVIL INVESTIGATIVE DEMAND A Civil Investigative Demand that was served by a government agency can feel like a shot out of the blue. You might be home, enjoying your day, when you get papers that demand documents, testimony, or answers to pointed questions. At first, it can feel confusing or even unfair. Many people wonder: […]
read moreWhat Happens If I Ignore an SEC Subpoena or Miss the Deadline?
WHAT HAPPENS IF I IGNORE AN SEC SUBPOENA OR MISS THE DEADLINE? If you’re on this page, it likely means you received a subpoena that was issued by the U.S. Securities and Exchange Commission (SEC), and now you’re wondering what happens if you ignore it or delay. Let me be brutally honest: ignoring an SEC […]
read moreHow Does a Civil Investigative Demand Work? The Legal Process Explained
HOW DOES A CIVIL INVESTIGATIVE DEMAND WORK Look, I’m not here to stroke your ego. I’m here to push you, and I’m not going to hold back. If you or your business has received a Civil Investigative Demand, it means a federal agency that was granted authority by Congress wants evidence from you. Agencies like […]
read moreWhat Is a Civil Investigative Demand (CID)? – Definition and Overview
WHAT IS A CIVIL INVESTIGATIVE DEMAND (CID)? A Civil Investigative Demand (CID) is a powerful request that was created by federal agencies to gather information about possible wrongdoing. Government agencies, such as the Department of Justice or the Federal Trade Commission, use CIDs to investigate potential violations of the law. This means that you, or […]
read moreWhat Does It Mean If I Receive an SEC Subpoena? Understanding Your Next Steps
WHAT DOES IT MEAN IF I RECEIVE AN SEC SUBPOENA An SEC subpoena that was sent to you can feel like a sudden shock to your life. This document that came from the U.S. Securities and Exchange Commission (SEC) means the government wants information from you, often about violations of securities laws. The SEC might […]
read moreBehind the Scenes of a CID: How Government Investigators Gather Evidence
BEHIND THE SCENES OF A CID: HOW GOVERNMENT INVESTIGATORS GATHER EVIDENCE Government investigators who are part of a Criminal Investigation Division (CID) have an important job, which is finding facts that prove or disprove alleged crimes. These investigators work under agencies like the Department of Justice or the Federal Bureau of Investigation, finding documents that […]
read moreCivil Investigative Demand Response Do’s and Don’ts for Companies
CIVIL INVESTIGATIVE DEMANDS: WHAT YOU MUST KNOW By Spodek Law Group, a nationwide federal defense law firm created by Todd Spodek If you’re reading this, it’s because you’ve either received a Civil Investigative Demand (CID) from a government agency, or you’re worried you might get one soon in the mail, or in person. No one […]
read moreHow long do I have to comply with a subpoena?
How long do I have to comply with a subpoena? A subpoena that was issued by a court is a legal document, and it orders you to appear in court or provide specific records. You might receive it because you have information that is important to a lawsuit or a government investigation. Why do courts […]
read moreHow are subpoenas served?
How are Subpoenas Served? A subpoena is a legal document compelling someone to appear in court, produce evidence, or both. Government agencies—like a local District Attorney’s Office or federal entities such as the Department of Justice—rely on subpoenas to secure key testimony or documents. You might receive a subpoena if you: Witnessed a Crime: Whether […]
read moreFISMA Compliance Regulations Audits
FISMA COMPLIANCE INTRODUCTION FISMA compliance, established under the Federal Information Security Management Act, requires strict adherence to information security standards. Government agencies and certain contractors must follow precise guidelines to protect federal data from unauthorized access or compromise, and any violation can result in severe legal and financial consequences. Passed in 2002, FISMA addresses the […]
read moreSecurities Litigation SEC Fraud Defense Ponzi Scheme
SECURITIES LITIGATION & SEC FRAUD DEFENSE PONZI SCHEME ALLEGATIONS FACING AN SEC SUBPOENA? Stop talking, start planning. If the government thinks you’re running a Ponzi scheme, you’re staring at civil injunctions, asset freezes, disgorgement, crippling fines — and yes, federal prison. We’re Spodek Law Group. We defend the cases other firms call unwinnable, and we’re going to tell […]
read moreRule 8210 Requests
RULE 8210 REQUESTS If you are working in the financial sector and receive a Rule 8210 request that was issued by FINRA, you are probably scared about what comes next. A Rule 8210 request is a formal demand for documents or testimony related to an investigation by the Financial Industry Regulatory Authority (FINRA). If you […]
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