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What Does It Mean If I Receive an SEC Subpoena? Understanding Your Next Steps
Contents1 WHAT DOES IT MEAN IF I RECEIVE AN SEC SUBPOENA1.1 STOP MAKING EXCUSES1.2 SPODEK LAW GROUP: WHO WE ARE1.3 WHAT THE SEC WANTS1.4 POSSIBLE PENALTIES AND CRIMES1.5 HOW SPODEK LAW GROUP DEFENDS YOU1.6 CONTACT SPODEK LAW GROUP WHAT DOES IT MEAN IF I RECEIVE AN SEC SUBPOENA An SEC subpoena that was sent to […]
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
Contents1 CIVIL INVESTIGATIVE DEMANDS: WHAT YOU MUST KNOW1.1 WHAT IS A CIVIL INVESTIGATIVE DEMAND?1.2 WHY GOVERNMENT AGENCIES USE CIDS1.3 HOW CIDS CAN LEAD TO CRIMINAL CHARGES1.4 SPODEK LAW GROUP’S DIRECT TAKE ON CIDS1.5 COMMON REASONS WHY CIDS ARE ISSUED1.6 GOVERNMENT VIEW VS. YOUR VIEW1.7 WHAT HAPPENS IF YOU IGNORE OR RESIST?1.8 STRATEGIES THAT WE USE […]
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 moreInternal Audit Consulting How to Conduct
Contents1 Internal Audit Consulting How to Conduct1.1 When Federal Regulators Come Knocking – Your Company’s Financial Records Under Investigation1.2 The Paper Trail That Sends Executives to Federal Prison1.3 Risk Assessment Matrices – But Who’s Really at Risk1.4 Control Testing That Controls Your Freedom1.5 Documentation Standards vs Constitutional Rights1.6 When Auditors Become Government Witnesses1.7 The Compliance […]
read moreInternal Audit Consulting FCPA Compliance
Contents1 The FCPA Started as Nixon’s Problem in 19772 Your Internal Audit Function is Probably Already Breaking FCPA Rules3 That $800 Million Siemens Fine Changed Everything About Compliance4 DOJ Uses Your Own Audit Reports as Evidence Against You5 Brazil Operations Create Triple Jeopardy Under Three Different Laws6 Third-Party Vendors are Federal Prosecutors’ Favorite Target7 Your […]
read moreSecurities Litigation SEC Fraud Defense Ponzi Scheme
Contents1 SECURITIES LITIGATION & SEC FRAUD DEFENSE PONZI SCHEME ALLEGATIONS1.1 WHY THE SEC POUNCES SO FAST1.1.1 THE CORE STATUTES AT PLAY1.2 PENALTIES & REAL‑WORLD NUMBERS1.3 PONZI SCHEME 101 — AND WHY THE LABEL MATTERS1.4 GAPS THAT GET OPERATORS IN TROUBLE1.5 STRATEGIC DEFENSE — HOW WE FIGHT1.5.1 1. SEC PRE‑ENFORCEMENT — STOP THE BLEEDING1.5.2 2. WELLS NOTICE PHASE — CHANGE THE NARRATIVE1.5.3 3. PARALLEL DOJ INVESTIGATION1.5.4 4. SETTLEMENT VS. TRIAL1.6 […]
read moreRule 8210 Requests
Contents1 RULE 8210 REQUESTS2 WHAT IS A RULE 8210 REQUEST?3 HOW SERIOUS ARE RULE 8210 REQUESTS?4 WHY YOU MIGHT NEED A STRATEGIC DEFENSE5 COMMON PENALTIES6 STRATEGIES WE USE TO PROTECT YOU7 LEVERAGE POINTS AND PERSONAL ACCOUNTABILITY8 WHY CHOOSE SPODEK LAW GROUP9 HOW TO GET STARTED RULE 8210 REQUESTS If you are working in the financial […]
read moreFFIEC Compliance
Contents1 WHAT IS THE FFIEC?2 HOW DOES FFIEC COMPLIANCE HELP PREVENT CRIME?3 WHY FFIEC COMPLIANCE IS NOT OPTIONAL4 POSSIBLE PENALTIES YOU COULD FACE5 HOW SPODEK LAW GROUP CAN DEFEND YOU6 MULTIPLE PERSPECTIVES ON COMPLIANCE7 WAYS TO STAY COMPLIANT AND AVOID PENALTIES8 QUESTIONS ABOUT FFIEC COMPLIANCE: A QUICK FAQ9 CONTACT SPODEK LAW GROUP FOR A RISK-FREE […]
read moreFCPA Violation Overview
FCPA VIOLATION OVERVIEW We are Spodek Law Group, a premier, and award winning, New York / Federal criminal defense law firm, created by Todd Spodek. If you’re on our website, it’s probably because you’re worried about the Foreign Corrupt Practices Act (FCPA) and how it could upend your entire future. Let’s be very direct: if […]
read moreSubpoenas Congressional Subpoena Private Citizens
Contents1 CONGRESSIONAL SUBPOENAS: WHAT HAPPENS WHEN CONGRESS TARGETS A PRIVATE CITIZEN1.1 WHY CONGRESS CAN DEMAND YOUR DOCUMENTS—AND YOUR BODY1.2 FAST COMPARISON: THREE ENFORCEMENT TRACKS1.3 THE MOMENT A SUBPOENA ARRIVES: STEP‑BY‑STEP DEFENSE1.4 PENALTIES: REAL NUMBERS, NO SCARE TACTICS—JUST FACTS1.5 COMMON MYTHS—DESTROYED1.6 OUR BRUTAL ASSESSMENT OF WHERE MOST CLIENTS SELF‑SABOTAGE1.7 SAMPLE DEFENSE FRAMEWORK—SPODEK LAW GROUP1.8 BIG PICTURE—WHY CONGRESS TARGETS […]
read moreSubpoenas FEC
Contents1 Subpoenas FEC: When Campaign Finance Investigations Turn Into Legal Nightmares1.1 That Bipartisan Requirement Creates Problems1.2 Dead Investigations Mean Lost Evidence1.3 Cryptocurrency Cases Expose Bigger FEC Weaknesses1.4 Jurisdictional Confusion Becomes Defense Gold1.5 Authority Gaps Lead to Constitutional Challenges1.6 Anonymous Speech Cases Set Precedent1.7 Expanded Protections Change Defense Strategies1.8 Overbroad Subpoenas Reveal Prosecutor Desperation1.9 Judges Punish […]
read moreSubpoenas Rule 45
Contents1 FEDERAL RULE OF CIVIL PROCEDURE 45 (SUBPOENAS)1.1 WHAT IS A RULE 45 SUBPOENA?1.2 IMPORTANT NOTICE ABOUT SERVICE1.3 CONSEQUENCES OF NON-COMPLIANCE1.4 HOW TO OBJECT OR CHALLENGE A SUBPOENA1.5 HOW WE DEFEND YOU1.6 LOCAL NUANCE IN NYC AND BEYOND1.7 THINKING STRATEGICALLY1.8 PENALTIES, CRIMES, AND PUNISHMENT1.9 USEFUL GOVERNMENT RESOURCES FEDERAL RULE OF CIVIL PROCEDURE 45 (SUBPOENAS) AS […]
read moreSecurities Litigation SEC Fraud Defense Stock Fraud
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 […]
read moreSecurities Litigation SEC Fraud Defense Short Selling Abuse
Contents1 SECURITIES LITIGATION SEC FRAUD DEFENSE SHORT SELLING ABUSE1.1 WHAT IS SHORT SELLING ABUSE?1.2 SEC FRAUD CHARGES: WHY THEY’RE A NIGHTMARE1.2.1 KEY LAWS AND REGULATIONS1.3 HOW WE’D DEFEND YOU1.4 REAL-WORLD CONSEQUENCES1.5 COMPARISON: CIVIL VS CRIMINAL1.6 CRITICAL GAPS THAT HOLD YOU BACK1.7 SPEAK UP NOW1.8 FAQ QUICK-REFERENCE SECURITIES LITIGATION SEC FRAUD DEFENSE SHORT SELLING ABUSE If […]
read moreSecurities Litigation SEC Rule 144a
Contents1 SECURITIES LITIGATION: SEC RULE 144A1.1 UNDERSTANDING RULE 144A1.2 PENALTIES, CRIMES, AND PUNISHMENT1.3 HOW WE DEFEND YOU1.4 ONE CRUCIAL POINT TO REMEMBER1.5 MULTIPLE PERSPECTIVES1.6 FAQ QUICK-REFERENCE TABLE1.7 CALL TO ACTION SECURITIES LITIGATION: SEC RULE 144A If you’re reading this, it’s because you want clarity on how Rule 144A under federal securities regulations can impact you, […]
read moreFTC Defense Penalty Offense Authority
Contents1 The FTC’s New Enforcement Powers Changed Everything in 20222 What Makes A Penalty Offense Different From Regular FTC Violations3 The List That Every Business Owner Needs to Know About4 How We’ve Seen Enforcement Play Out Since Implementation5 Building on Those Enforcement Patterns – Defense Strategy6 Taking the Documentation Further — The Proactive Defense Framework7 […]
read moreFTC Defense Compliance Tips
Contents1 FTC DEFENSE COMPLIANCE TIPS1.1 WHY FTC COMPLIANCE MATTERS1.2 REAL PENALTIES AND CRIMES1.3 STRATEGIES FOR DEFENSE1.4 POINTS OF VIEW1.5 COMMON COMPLIANCE GAPS1.6 HOW SPODEK LAW GROUP CAN HELP1.7 FAQ QUICK-REFERENCE TABLE1.8 FINAL THOUGHTS1.9 DISCLAIMER FTC DEFENSE COMPLIANCE TIPS Spodek Law Group, is a nationwide federal defense law firm created by Todd Spodek, and we have […]
read moreCriminal Law PPP Loan Fraud Repayment Request
Contents1 How Voluntary Repayment,, Became The Government’s Perfect Trap2 When Repayment Requests Arrive,Your Clock Starts Ticking3 Real Business Owners NowServing Decades Because They Repaid4 Why 2025’s Enforcement Changes Made Repayment Deadly5 Defending Against DOJ’sRepayment Trap If you’re reading this after getting a DOJ letter requesting “voluntary repayment” of your PPP loan, then you’re likely thinking […]
read moreHealthcare Compliance DEA Matters Pharmacy Red Flags Opioid Medications
Contents1 HEALTHCARE COMPLIANCE & DEA MATTERS: WHAT EVERY PHARMACIST MUST KNOW ABOUT RED FLAGS AND OPIOID DISPENSING1.1 THE LEGAL FOUNDATION: WHY THE DEA CARES1.2 THE RED FLAGS THAT GET PHARMACIES SHUT DOWN1.3 COMPARING THE PENALTIES BY SCHEDULE1.4 CASE STUDIES: REAL‑WORLD BLOODSHED1.5 GAPS THAT WILL SINK YOUR OPERATION—AND HOW TO CLOSE THEM1.6 DEFENSE STRATEGIES WHEN THE […]
read moreHealthcare Compliance DEA Matters Letter of Admonition
Contents1 Healthcare Compliance – DEA Matters Letter of Admonition1.1 What Exactly Is a DEA Letter of Admonition?1.2 Common Violations That Trigger an LOA1.3 Strategic Gap Analysis – Where Most Providers Fail1.4 Your First 72 Hours After Receiving the LOA1.5 Penalties If You Blow It Off1.6 Defense Strategies That Actually Work1.7 Psychology & Leverage – Why Providers Self‑Sabotage1.8 Systems Thinking – Building a “Zero‑Defect” Controlled Substance Program1.9 Critique – Why Your Current Plan […]
read moreHealthcare Compliance Increase VA Fraud Investigations
Contents1 HEALTHCARE COMPLIANCE UPTICK TRIGGERS MORE VA FRAUD INVESTIGATIONS1.1 WHY THIS MATTERS RIGHT NOW1.2 COMMON SCENARIOS THAT TRIGGER INVESTIGATIONS1.3 PENALTIES AND LEGAL THREATS1.4 WHAT YOU CAN DO (AND WHAT YOU SHOULD AVOID)1.5 HOW SPODEK LAW GROUP DEFENDS YOU1.6 ARE YOU AT RISK RIGHT NOW?1.7 FAQ TABLE: QUICK THINGS YOU SHOULD KNOW1.8 OUR FINAL ADVICE (AND […]
read moreHealthcare Compliance Anti-Kickback Statute
Contents1 HEALTHCARE COMPLIANCE AND THE ANTI-KICKBACK STATUTE1.1 WHAT IS THE ANTI-KICKBACK STATUTE?1.2 WHY COMPLIANCE MATTERS1.3 HOW WE WOULD DEFEND YOU1.4 POSSIBLE PENALTIES1.5 DO NOT WAIT UNTIL IT’S TOO LATE1.6 OUR NO-NONSENSE APPROACH1.7 DISCALIMER: NO GUARANTEES HEALTHCARE COMPLIANCE AND THE ANTI-KICKBACK STATUTE You need to hear this: The federal government is on high alert for healthcare […]
read morePharmacy Audit Lawyers
Contents1 PHARMACY AUDIT LAWYER: PROTECT YOUR BUSINESS1.1 HOW AUDITS TARGET PHARMACIES1.2 THREATS AND CONSEQUENCES1.3 COMMON ISSUES IDENTIFIED DURING PHARMACY AUDITS1.4 HOW WE DEFEND YOU1.5 DIFFERENT VIEWPOINTS: PHARMACIST VS. AUDITOR1.6 POSSIBLE PENALTIES AND CRIMINAL CHARGES1.7 DO NOT WAIT UNTIL IT’S TOO LATE PHARMACY AUDIT LAWYER: PROTECT YOUR BUSINESS Surprise audits are no joke in the pharmacy […]
read moreMAC Audits
Contents1 MEDICARE MAC AUDITS — THE FEDERAL SPOTLIGHT YOU CAN’T IGNORE1.1 AS SEEN BY CMS — WHAT A MAC AUDIT REALLY IS1.1.1 CALL‑OUT: FAILURE TO RESPOND MEANS AUTOMATIC PAYBACK + INTEREST.1.2 HOW A MAC AUDIT STARTS — STEP BY STEP1.3 LEGAL BACKBONE OF MAC AUTHORITY1.3.1 HEADLINE: CMS CAN DEMAND 100 PERCENT OF THE OVERPAYMENT + 11 % INTEREST.1.4 PENALTIES — NUMBERS YOU CAN’T NEGLECT1.5 MAC VS RAC VS UPIC — KNOW YOUR ENEMY1.6 FIVE DEFENSE LEVERS THAT ACTUALLY WORK1.6.1 […]
read moreMedicaid Audits
MEDICAID AUDITS If you accept payments from Medicaid, you need to know that government auditors can review your claims at any time. Medicaid is a joint federal and state program, so both federal and state agencies may investigate your billing. Audits can be stressful, but if you understand what to expect, it becomes easier to […]
read moreIs Your Company Under Investigation by BIS CPB DOS or OFAC for Import Export Violations
Contents1 IS YOUR COMPANY UNDER INVESTIGATION BY BIS, CBP, DOS, OR OFAC FOR IMPORT EXPORT VIOLATIONS?2 WHO ARE THESE AGENCIES THAT ENFORCE IMPORT AND EXPORT LAWS?3 HARSH PENALTIES THAT CAN CRIPPLE YOUR BUSINESS4 WHY A STRATEGIC DEFENSE MATTERS5 THE BRUTAL TRUTH: ACTION STEPS YOU MUST TAKE6 HOW SPODEK LAW GROUP DEFENDS YOU7 POSSIBLE CONSEQUENCES THAT […]
read moreFederal Compliance and Defense Representation for Importers
FEDERAL COMPLIANCE AND CRIMINAL DEFENSE FOR U.S. IMPORTERS If you import goods into the United States, you have to follow many federal rules. Customs (CBP), Homeland Security Investigations (HSI), and other agencies inspect and monitor shipments. If they find major errors in your paperwork, or see something suspicious, you might end up investigated for crimes. […]
read moreBilling Fraud
Contents1 BILLING FRAUD EXPLAINED: WHAT IT IS AND HOW WE FIGHT IT1.1 WHAT IS BILLING FRAUD?1.2 WHY THE PENALTIES ARE SO HARSH1.3 MULTIPLE POINTS OF VIEW1.4 HOW WE BUILD YOUR DEFENSE STRATEGY1.5 HOW BILLING FRAUD HAPPENS1.6 REAL RISKS AND REAL CONSEQUENCES1.7 WHO IS MOST AT RISK?1.8 FAQ QUICK-REFERENCE TABLE1.9 WHY CHOOSE SPODEK LAW GROUP1.10 FINAL […]
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