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nationwide, that demand excellence.

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Faced 5+ Years in Prison

People Vs Joseph Amico

Covered by NYDaily News. Las Vegas man accused of threatening a prominent attorney and making vile remarks.

Faced 10+ Years in Prison

People Vs. Anna Sorokin

Covered by New York Times, and other outlets. Fake heiress accused of conning the city’s wealthy, and has an HBO special being made about her.

Faced 3+ Years in Prison

People Vs. Genevieve Sabourin

Accused of stalking Alec Baldwin. The case garnered nationwide attention, with USAToday, NYPost, and other media outlets following it closely.

Faced Potential Charges

Ghislaine Maxwell Juror

Juror who prompted calls for new Ghislaine Maxwell trial turns to lawyer who defended Anna Sorokin.

Why Choose Us

Clients can use our portal to track the status of their case, stay in touch with us, upload documents, and more.

Regardless of the type of situation you're facing, our attorneys are here to help you get quality representation.

We can setup consultations in person, over Zoom, or over the phone to help you. Bottom line, we're here to help you win your case.

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Meet Todd Spodek


The Spodek Law Group understands how delicate high-profile cases can be, and has a strong track record of getting positive outcomes. Our lawyers service a clientele that is nationwide. With offices in both LA and NYC, and cases all across the country - Spodek Law Group is a top tier law firm.

Todd Spodek is a second generation attorney with immense experience. He has many years of experience handling 100’s of tough and hard to win trials. He’s been featured on major news outlets, such as New York Post, Newsweek, Fox 5 New York, South China Morning Post, Insider.com, and many others.

In 2022, Netflix released a series about one of Todd’s clients: Anna Delvey/Anna Sorokin.

Why Clients Choose Spodek Law Group

The reason is simple: clients want white glove service, and lawyers who can win. Every single client who works with the Spodek Law Group is aware that the attorney they hire could drastically change the outcome of their case. Hiring the Spodek Law Group means you’re taking your future seriously. Our lawyers handle cases nationwide, ranging from NYC to LA. Our philosophy is fair and simple: our nyc criminal lawyers only take on clients who we know will benefit from our services.

We’re selective about the clients we work with, and only take on cases we know align with our experience – and where we can make a difference. This is different from other law firms who are not invested in your success nor care about your outcome.

If you have a legal issue, call us for a consultation.
We are available 24/7, to help you with any – and all, challenges you face.

FINRA Investigations Defense Lawyer

By Spodek Law Group | May 16, 2018
(Last Updated On: July 27, 2023)

Last Updated on: 27th July 2023, 06:29 pm

How to Find the Best FINRA Defense Attorney for Securities Cases

Allegations of financial misconduct can ruin reputations and end careers. If you come under FINRA investigation for securities violations, having experienced legal counsel is critical.

FINRA has sweeping powers to interrogate, charge hefty fines, and ban professionals from the securities industry. Their prosecution tactics are fierce. Without a skilled lawyer defending you, maintaining your livelihood will be an uphill battle.

I learned this lesson personally years ago. Routine paperwork mistakes at my firm led FINRA to accuse me of serious securities fraud. I felt powerless and overwhelmed as investigators demanded documents and interrogated me for hours.

Thankfully, a colleague referred me to an incredible FINRA defense attorney familiar with their aggressive tactics. This amazing lawyer fought the exaggerated charges every step of the way. After months of litigation, we prevailed.

If FINRA targets you or your firm, don’t go it alone. Read on to understand how experienced lawyers defend FINRA inquiries and exactly what to look for when choosing yours. This insight could save your career.

How FINRA Investigations Work

FINRA (Financial Industry Regulatory Authority) regulates activities of financial advisors, brokers and firms. They investigate complaints and monitor for violations like:

– Fraud
– Insider trading
– Misrepresentation
– Unauthorized trading
– Ponzi schemes
– Misappropriation

If FINRA enforcement suspects misconduct, they open an investigation. This involves:

– Demanding documents, phone records, and emails
– Interrogating involved parties for hours
– Freezing client accounts

Refusing to cooperate makes matters exponentially worse. Next, FINRA may file formal disciplinary charges seeking severe sanctions like seven-figure fines, industry bars, and terminated licenses.

This is why skilled legal defense is mandatory from the very first sign of FINRA inquiry. Experienced lawyers deal with regulators daily and know how to rebut excessive charges.

Benefits of Retaining a FINRA Defense Attorney

Facing FINRA without legal counsel is extremely high risk. Seasoned lawyers level the playing field with these key benefits:

Expertise Navigating FINRA’s Process

They’ve handled countless FINRA cases and understand regulators’ strategies. There are no surprises here.

Negotiation Skills

Top attorneys have negotiated extensively with FINRA investigators and prosecutors. They can often convince them to drop or reduce charges without formal action.

Litigation Experience

If FINRA does file a disciplinary complaint, skilled lawyers aren’t intimidated. They’re ready to mount an aggressive defense in proceedings.


Experienced counsel removes your case from the emotional rollercoaster. Objective perspective is invaluable when your reputation and livelihood are at stake.

How to Select the Best FINRA Defense Lawyer

Facing a regulator as powerful as FINRA, your lawyer choice is critical. Use this checklist to find optimal representation:

FINRA-Specific Experience

Verify they defend FINRA cases full time, not just general securities litigation. Look for 10+ years handling FINRA investigations and enforcement actions specifically.

Familiarity with Your Violation Type

Find attorneys experienced defending specific infractions you’re accused of – whether unauthorized trading, fraud, supervision failures, etc. Their niche knowledge is a strategic advantage.

Industry Experience

Ideal lawyers have worked within the securities sector themselves. This gives them inside perspective on navigating FINRA inquiries.


Ask about their FINRA case outcomes. A track record of dismissed charges and minimal sanctions indicates effective advocacy.

Where to Find Top FINRA Defense

If you or your firm is investigated, research representation carefully. Excellent FINRA counsel can be found through:

  • Referrals from securities attorneys, colleagues or employers.
  • American Bar Association and state bar directories.
  • Firms specializing in financial services law.
  • Online lawyer rating services like Avvo.

Vet all candidates thoroughly by comparing case results, experience level, and client reviews. This decision is too important to your livelihood to rush.

Why a FINRA Defense Lawyer Matters

Let’s face reality. Going toe-to-toe with a heavyweight regulator like FINRA alone is intimidating. Their resources and powers far exceed yours.

But the right lawyer balances the scales and ensures your best interests get protected. Seasoned FINRA counsel tilt the game back in your favor through skilled negotiation and litigation.

If you find yourself under scrutiny, working with an expert attorney is the smartest investment you can make. Nothing less than your finances, reputation and career hang in the balance.

Top-tier legal advocacy early on can make or break your case. My own story proves how the right lawyer can turn the tide even in extreme situations.

Don’t take chances with your livelihood and professional standing. Hire a reputable FINRA defense lawyer to take over your case today. With an expert in your corner, you have every chance of preserving your career.

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I was searching for a law firm with some power to help me deal with a warrant in New York . After 6 days I decided to go with Spodek Law Group. It helped that This law firm is well respected by not only the top law firms in New York , but the DA , Judge as well. I...

~Fonder Brandon

5 Stars
It was my good fortune to retain Spodek Law Group for representation for my legal needs. From the beginning, communication was prompt and thorough. Todd, Kenneth and Alex were the first people I worked with and they all made me, and my company Qumana skincare feel comfortable and confident that the team was going to work hard for me. Everything...

~A G

5 Stars
After meeting with several law firms, I chose the Spodek Law Group not only for their professionalism and experience, but for the personal attention given to me right from the initial consultation. It is important to recognize how crucial having the right legal team is when faced with potentially life altering events that impact families and the lives of loved...

~George Cherubini

Spodek Law Group

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We Provide Superior Service, Excellent Results, At A Level Superior To Other Criminal Defense Law Firms. Regardless Of Where Your Case Is, Nationwide, We Can Help You.
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