Criminal Defense Lawyers

Securities Litigation SEC Fraud Defense Stock Fraud

Last Updated on: 11th March 2025, 10:49 pm

SECURITIES LITIGATION, SEC FRAUD DEFENSE, AND STOCK FRAUD

We are Spodek Law Group, a top rated Federal defense law firm created by Todd Spodek, and we’re not here to sugarcoat anything at all. If you’re facing criminal allegations of stock fraud or Securities and Exchange Commission (SEC) violations, it means you could be up against serious financial and criminal penalties, and you cannot afford wishful thinking in order to get out of this. We get it—you might be scared, or you might be tempted to ignore the threat and live under a rock. Stop that now. There is too much at stake to pretend this is no big deal. It is a very big deal, and we’re here to help you, whether you’re in NYC or anywhere else nationwide. We are available 24/7, to provide a risk free consultation, and we want you to understand exactly what you’re facing, why it’s happening, and how we fight for you.

WHAT IS SECURITIES FRAUD?

Securities fraud that was committed by individuals or companies is a serious offense. This type of fraud can include insider trading, Ponzi schemes, misrepresentation of a stock’s value, market manipulation, or any other deception used to trick investors. That means you could face both civil and criminal charges from agencies like the Securities and Exchange Commission (SEC) and, in some situations, the Department of Justice (DOJ). When these federal agencies step in, they come prepared to fight and limitless resources, and they will not back down. If they gather evidence that was carefully gathered, they plan to use it against you in court, which can lead to life-changing penalties for you and your family.

The consequences of a criminal conviction or a civil judgment can include huge financial fines, a damaged reputation, loss of professional licenses, and possible prison time. This is not a small bump in the road. This is a fork where one wrong move can wreck your future, your finances, and your freedom. That is exactly why you need a strong legal defense from attorneys who know how to attack the root cause of your situation, not just skim the surface. At Spodek Law Group, we have over 50 years of combined experience handling complex federal and state cases. We fight relentlessly for our clients because we know your freedom is on the line.

WHAT COUNTS AS SECURITIES LITIGATION

Securities litigation that was initiated against you may arise from a range of alleged violations. For example, insider trading occurs when a person who was entrusted with confidential information about a company uses that information to profit from stock trades. Another common type of securities litigation is market manipulation, which involves spreading false rumors or artificially inflating a company’s stock price. When accusations surface that say you engaged in such activities, the SEC may investigate you, which creates a massive strain on your life.

That investigation by the SEC and other investigators can lead to public complaints, frozen bank accounts, or the seizure of important documents. The second the SEC announces charges against you, you face the risk of negative publicity that could harm your job prospects, scare off your clients, and ruin your standing with regulators. If they decide to file criminal charges, the penalties become even steeper, with the potential for federal prison sentences and astronomical fines. You cannot sweep these issues under the rug. You need a strong, direct strategy.

OUR STRATEGY TO DEFEND YOU

Our law firm focuses on points that create the biggest impact. We identify the gaps that were ignored in the investigation, and we turn those gaps into your advantage. If there is evidence that was illegally obtained, we want to get it thrown out which can weaken the prosecution’s case. Once that evidence is invalid, they may lose their main argument against you, which could lead to a favorable plea deal, reduced charges, or even a full dismissal.

Sometimes you might feel tempted to lie to yourself and pretend the SEC does not have a strong case and it’ll go away if you ignore it. We will call that out immediately. We hold you to high standards, which means we need to know everything—no half-truths or excuses. We demand total honesty so we can build the right defense strategy. Our approach includes:

• Investigating potential entrapment or overreach by the government
• Reviewing financial records to find weaknesses or inconsistencies
• Challenging the intent element by proving lack of knowledge or genuine error
• Negotiating with prosecutors who are sometimes open to a reduced sentence
• Taking the case to trial if that’s the best path to clear your name

We do not follow surface-level fixes. Instead, we examine the root cause of your legal troubles and focus on what’s creating the case. Maybe your internal compliance was lax, or maybe a disgruntled employee made false claims against you. Whatever the cause, we will find it and create a system that protects you from further harm. We won’t give you any illusions about the reality you face. We do not tolerate rationalizations or blame-shifting. If you are ignoring facts, we will make you face them. That is the only way we can keep you safe. The objective is to look at the truth, and find a way to make sure it’s conveyed.

POSSIBLE PENALTIES FOR SEC FRAUD

Individuals who are charged with SEC fraud could face penalties ranging from civil fines to prison sentences. A civil penalty that was imposed by the SEC could reach hundreds of thousands of dollars, which may completely drain your savings and bankrupt your business. That financial hit can create a ripple effect, forcing you to lay off employees, lose your reputation, and face personal stress that damages your relationships.

When the DOJ decides to go forward with criminal charges, you could end up with a felony conviction. That conviction can mean years behind bars, which ends careers, ruins families, and erases your future opportunities. Even if you avoid prison, a guilty plea can involve strict probation, restitution to alleged victims, and a criminal record that blocks you from certain jobs or professional licenses. This is why your choice of legal defense is such a massive turning point. We are top rated for a reason, and we’ll do everything we can to protect you.

WHY SPODEK LAW GROUP MATTERS

You might be thinking, “Plenty of firms claim to be experts. Why Spodek Law Group?” We are not your average SEC fraud defense lawyers who just want to play nice with prosecutors. We are a strong, nationwide Federal criminal defense law firm, we have a direct approach to helping you, and we produce real results. Our team consists of SEC def attorneys who were trained to identify your blind spots and call out any excuses. We use the latest legal strategies, we are relentless negotiators, and we care deeply about your well-being. Most importantly, we understand that your entire life may be on the line.

At Spodek Law Group, we also offer you a digital portal that was designed to handle communications, billing, and document sharing around the clock. Regardless of what’s going on – the portal is available to you. You can view your case updates at any hour. You can send us urgent notes at 2 A.M. if needed. We’re here 24/7 to provide you a risk free consultation, and to guide you through the toughest legal challenges. This is a next-level approach, and it aligns with our belief that staying proactive is the key to success.

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