Foreign Agents Registration Act Lawyers

WHAT SHOULD I DO IF I’M UNDER A FINRA INVESTIGATION

Spodek Law Group, is a premier, and top rated, federal defense law firm created by Todd Spodek. We handle complex FINRA investigations nationwide. If you’re being investigated by FINRA (https://www.finra.org), it means you’re in a serious situation that can impact your license, your reputation, and your financial future. You might feel worried, or even terrified. You should be. FINRA has the authority to impose fines, suspend licenses, or even refer your case for criminal charges, which means you could face life-changing consequences. Nobody wants that.

Regardless of the situation you’re in, and regardless of how worried you might be, our job is to help you navigate this crisis. No excuses. No half-steps. At Spodek Law Group, we are brutally honest, because being soft doesn’t help you. We care about you, but we also know you need to hear the truth. If you hesitate, you could lose everything you’ve worked for. Here’s what you need to do—starting right now.

UNDERSTAND THE POTENTIAL PENALTIES

When FINRA investigates you, it’s not just about a slap on the wrist. FINRA that was created to protect investors can take severe action. This means they might:

• Revoke Your License: A revoked license that was your gateway to earning a living can leave you jobless. That has ripple effects on your entire future.
• Impose Major Fines: Penalties can soar into the thousands or even millions of dollars. That can wipe out your savings—and then some.
• Refer Your Case for Criminal Charges: If the evidence that was compiled against you suggests fraud or other violations, the SEC or DOJ might step in. That can lead to prison time, which is the worst-case scenario.

Do you want to risk losing your career or your freedom? Probably not. That’s why it’s critical you take immediate steps. Waiting or hoping FINRA will “go easy” on you is fantasy. They won’t.

ACKNOWLEDGE THE STAKES, AND GET A STRATEGIC DEFENSE

If you pretend this is no big deal, you’re making a huge mistake. We’ve handled these investigations before, so we know exactly how FINRA operates. They’ll look for documents, emails, and testimony that can incriminate you. Evidence that was legitimately gathered will be used against you, and if you think you can just “smooth talk” your way out of it—think again. Once you say something on record, it’s there forever.

When you bring our team on board, we’ll dissect every piece of evidence that was collected. We’ll figure out if FINRA followed its own rules. If we find a procedure that was violated, we’ll raise it and ask for that evidence to be suppressed or thrown out, because if the evidence isn’t valid, we can argue it shouldn’t be used against you. That can make the difference between a total meltdown of your career and a chance at saving your future.

Consequences matter. If improper evidence is allowed, it could lead to a worst-case scenario: losing your license, facing huge fines, or even going to prison if the government gets involved. That’s how serious this is.

HOW SPODEK LAW GROUP CAN DEFEND YOU

We are a nationwide, top rated, federal defense law firm with over 50 years of combined experience. Our team, led by Todd Spodek—a second-generation attorney who has represented high-profile clients—knows how to handle major investigations. We’ve done it before, and we can do it again.

Here’s our strategy:

• Investigate FINRA’s Evidence: We request all relevant documents and scrutinize how they were obtained. We look for procedural flaws, because any piece of evidence that was illegally gathered can be challenged.
• Develop a Strong Defense Theme: We tailor an argument that shows your side of the story. If you relied on advice from a supervisor, or if your actions were misunderstood, we highlight that. We’re not afraid of going toe-to-toe with FINRA examiners.
• Negotiate, or Fight, Depending on Circumstances: Sometimes, the best move is to negotiate a settlement that avoids the worst penalties. Other times, we push for a hearing if we think we can get a full dismissal. Our only goal is your best outcome. Period.

We will be blunt: this is not a time to hide or make excuses. If you delay getting a proper defense, you might end up paying a massive fine or losing your ability to work in the securities industry. You need a plan, now.

PSYCHOLOGY OF DEALING WITH FINRA

Many people panic when they see that official letter from FINRA. They freeze, or they think “I’ll just explain everything,” and then they make damaging admissions on the record. That is the worst possible move. If you talk to FINRA without a skilled attorney, you might inadvertently strengthen their case against you, which means they’ll come down harder.

We don’t tolerate self-sabotage. We understand the psychological pressure you’re under, but we also know how to leverage your position. The key is controlling information. You only disclose what you must—nothing more. Anything else can be twisted to prove guilt. We’ve seen it happen countless times.

WHAT TO DO IF YOU’RE CONTACTED BY FINRA

Stay calm: If agents call, email, or show up, do not volunteer extra details. Provide basic information, then stop. That is your right.

Call us immediately: The sooner you have representation, the safer you are. We can communicate with FINRA on your behalf. We’ll deal with their requests, review what they’re seeking, and help you avoid unintended self-incrimination.

Gather Documents: Collect any related paperwork that shows your side of the story, such as emails or compliance logs. Don’t hide anything. If you destroy documents, you could face obstruction allegations, which might be a separate violation—and that is dangerous.

ARE THERE CRIMINAL RAMIFICATIONS?

Yes, there can be. If FINRA uncovers serious fraud, forgery, or other illegal activity, they can refer you to the SEC or even the Department of Justice (https://www.justice.gov), which means you could end up charged with federal crimes. If you’re convicted, you might face prison time that disrupts your life, your family, and your future. That’s a nightmare scenario—one that can be prevented if you take these allegations seriously, and if you act quickly to defend yourself.

Think about the consequences. A felony conviction can follow you for life. It can strip you of your right to work in finance, diminish future career prospects, and brand you as a criminal. Don’t assume it “won’t go that far.” That is risky thinking, which never ends well.

CONTACT SPODEK LAW GROUP FOR HELP

If you’re under a FINRA investigation right now, or if you suspect you’re about to be, you need to be proactive. We are available 24/7, and we understand how FINRA and other regulatory agencies operate. Our attorneys, who have decades of collective experience, will guide you through every stage of this process.

We can’t help you if you don’t call. Waiting is a massive mistake. Every day you wait, FINRA could be building a case that was crafted to bury you. Our mission is to intercept that momentum, uncover their weaknesses, and protect your rights. That’s what we do at Spodek Law Group, and we do it well.

FREQUENTLY ASKED QUESTIONS

In short, you should never underestimate a FINRA investigation. You might think it’s a small issue that will “go away,” but it won’t. The consequences can be devastating, and FINRA isn’t known for showing mercy. That’s why calling our law firm is your best move.

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At Spodek Law Group, we fight for your future. If you’re under investigation, or even if you think you might be, do not wait. Call us now for a risk-free consultation. We promise to give you brutal honesty, personalized attention, and a defense strategy aimed at the best possible outcome. We will not tolerate excuses, because your life is on the line. Let’s stand together, and win.