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WHAT SHOULD I DO IF I’M UNDER A FINRA INVESTIGATION?
Contents1 WHAT SHOULD I DO IF I’M UNDER A FINRA INVESTIGATION?1.1 WHY FINRA INVESTIGATIONS ARE A BIG DEAL1.1.1 EXAMPLES OF POSSIBLE FINRA PENALTIES1.2 WHAT ACTUALLY TRIGGERS THESE INVESTIGATIONS?1.3 STRATEGIES WE USE TO DEFEND YOU1.4 WHAT HAPPENS IF YOU IGNORE A FINRA INVESTIGATION1.5 CALL US BEFORE IT’S TOO LATE1.5.1 FREQUENT QUESTIONS: QUICK-REFERENCE TABLE1.6 WE’RE ON YOUR […]
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
Contents1 FINRA 8210 LETTER1.1 WHAT EXACTLY IS A FINRA 8210 LETTER?1.1.1 COMMON REASONS FOR AN 8210 LETTER1.2 WHAT HAPPENS IF YOU IGNORE THE LETTER?1.2.1 WHY HARSH CONSEQUENCES EXIST1.3 THE SPODEK LAW GROUP APPROACH1.3.1 HOW WE DEFEND YOU1.4 POSSIBLE PENALTIES YOU FACE1.4.1 YOUR ACTION STEPS1.5 WHY SPODEK LAW GROUP?1.6 FREQUENTLY ASKED QUESTIONS (FAQ)1.7 LET’S TALK – […]
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?
Contents1 WHY A FINRA COMPLAINT MATTERS2 CAN YOU REALLY SETTLE IT QUIETLY?3 THE PENALTIES THAT YOU COULD FACE4 HOW WE’D DEFEND YOU5 FAQ6 WE’RE HERE 24/7 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 […]
read moreFINRA WELLS CALL LAWYERS
Contents1 FINRA WELLS CALL LAWYERS WHO WON’T TOLERATE EXCUSES2 WHAT IS A FINRA WELLS CALL?2.1 Why FINRA Enforcement Matters3 HOW SPODEK LAW GROUP DEFENDS YOU3.1 POSSIBLE PENALTIES AND CRIMINAL REFERRALS4 STRATEGIES THAT WE USE TO PROTECT YOU5 WHY SPODEK LAW GROUP6 FREQUENTLY ASKED QUESTIONS: QUICK-REFERENCE TABLE7 CONTACT US TODAY FINRA WELLS CALL LAWYERS WHO WON’T […]
read moreCan a Grand Jury Subpoena Lead to Medicare or Medicaid Fraud Charges?
Contents1 CAN A GRAND JURY SUBPOENA LEAD TO MEDICARE OR MEDICAID FRAUD CHARGES?1.1 What is a Grand Jury Subpoena?1.2 Why Does This Matter for Medicare or Medicaid Fraud?1.3 Common Examples of Behavior That Leads to Investigations1.4 Penalties and Punishments1.5 How We Defend You1.6 Strategies That We Might Use1.7 Expert Team, Nationwide Reach1.8 FAQ CAN A […]
read moreFelony Falsification Of Business Records
Contents1 FELONY FALSIFICATION OF BUSINESS RECORDS: WHAT’S AT STAKE1.1 HOW DOES FALSIFICATION OF BUSINESS RECORDS BECOME A FELONY?1.2 REAL PENALTIES: WHAT YOU NEED TO KNOW1.3 MINDSET: AVOIDING DANGEROUS ASSUMPTIONS1.4 STRATEGIES WE USE TO DEFEND YOU1.5 CHECKLIST: COMMON DANGER ZONES1.6 COMPACT FAQ1.7 FINAL WARNING: NO ROOM FOR EXCUSES FELONY FALSIFICATION OF BUSINESS RECORDS: WHAT’S AT STAKE […]
read moreFrequently Asked Questions by Brokers Under FINRA Investigation (FAQ Roundup)
Contents1 FREQUENTLY ASKED QUESTIONS BY BROKERS UNDER FINRA INVESTIGATION (FAQ ROUNDUP)1.1 Why Should You Take a FINRA Investigation Seriously?1.2 FAQ QUICK-REFERENCE TABLE1.3 What Are Common Reasons FINRA Investigates Brokers?1.4 What Criminal Charges Could Arise?1.5 Defending Against a FINRA Investigation: Our Approach1.6 Your Next Step: Stop Making Excuses and Take Action FREQUENTLY ASKED QUESTIONS BY BROKERS […]
read moreCan the SEC Subpoena Me If I Live or Work Overseas?
Contents1 CAN THE SEC SUBPOENA ME IF I LIVE OR WORK OVERSEAS?1.1 SEC’S EXTRATERRITORIAL REACH1.2 WHY A SUBPOENA IS A BIG DEAL1.3 TWO POINTS OF VIEW1.4 POTENTIAL PENALTIES1.5 WHAT SPODEK LAW GROUP DOES1.6 COMPACT FAQ TABLE1.7 NO TIME FOR EXCUSES1.8 IMPORTANT NOTICE CAN THE SEC SUBPOENA ME IF I LIVE OR WORK OVERSEAS? That question […]
read moreHow Do I Know If I’m the Target of an SEC Investigation or Just a Witness?
Contents1 HOW DO I KNOW IF I’M THE TARGET OF AN SEC INVESTIGATION OR JUST A WITNESS?1.1 WHY THE SEC CONTACTS PEOPLE1.2 SIGNS YOU MIGHT BE THE TARGET1.3 HOW SPODEK LAW GROUP CAN HELP1.4 POTENTIAL PENALTIES IF YOU’RE A TARGET1.5 CAN YOU BE BOTH A WITNESS AND A TARGET?1.6 THREE COMMON MYTHS1.7 WHAT IF I’M […]
read moreWhat Employees Should Know if Their Company Receives a Civil Investigative Demand
Contents1 WHAT EVERY EMPLOYEE SHOULD KNOW IF THEIR COMPANY GETS A CIVIL INVESTIGATIVE DEMAND1.1 UNDERSTANDING THE CID: WHY YOU SHOULD CARE1.2 POTENTIAL PENALTIES: WHAT’S AT STAKE1.3 HOW SPODEK LAW GROUP CAN DEFEND YOU1.4 WHAT YOU CAN DO RIGHT NOW: A STEP-BY-STEP GUIDE1.5 SHORT FAQ: QUICK REFERENCE1.6 ALTERNATIVE VIEW: WHY THE GOVERNMENT USES CIDS1.7 TAKE ACTION […]
read moreWhat Happens If You Ignore or Refuse a Civil Investigative Demand?
Contents1 CIVIL INVESTIGATIVE DEMAND2 WE ARE SPODEK LAW GROUP – A NATIONWIDE FEDERAL DEFENSE LAW FIRM3 IGNORE A CIVIL INVESTIGATIVE DEMAND – THEN WHAT?4 CONSEQUENCES: FINES AND PUNISHMENT5 OUR PHILOSOPHY: YOU DESERVE STRAIGHT TALK6 REFUSING THE DEMAND: POSSIBLE CRIMINAL CONSEQUENCES7 INSTEAD OF IGNORING: TALK TO US ABOUT DEFENSE STRATEGIES8 THINK AHEAD: “WHAT’S MY BEST MOVE?”9 […]
read moreWhat Happens If I Ignore an SEC Subpoena or Miss the Deadline?
Contents1 WHAT HAPPENS IF I IGNORE AN SEC SUBPOENA OR MISS THE DEADLINE?2 WHY THE SEC SUBPOENA MATTERS3 REAL PENALTIES THAT YOU COULD FACE4 WHY THIS BEHAVIOR KEEPS HOLDING YOU BACK5 HOW SPODEK LAW GROUP CAN DEFEND YOU6 WHY SPEED MATTERS7 DIFFERENT POINTS OF VIEW8 CONSEQUENCES OF PLAYING GAMES9 TAKE AN ACTION STEP TODAY10 QUICK-REFERENCE […]
read moreHow Does a Civil Investigative Demand Work? The Legal Process Explained
Contents1 HOW DOES A CIVIL INVESTIGATIVE DEMAND WORK1.1 WHAT IS A CIVIL INVESTIGATIVE DEMAND (CID)1.2 WHY GOVERNMENT AGENCIES USE A CID1.3 WHAT YOU MUST DO WHEN YOU GET A CID1.3.1 Step One: Understand the Scope1.3.2 Step Two: Decide on a Defense Strategy1.4 HOW A CID LEADS TO PENALTIES, CRIMES, AND PUNISHMENT1.5 STRATEGIES OUR FIRM USES […]
read moreWhat Is a Civil Investigative Demand (CID)? – Definition and Overview
Contents1 WHAT IS A CIVIL INVESTIGATIVE DEMAND (CID)?2 WHY GOVERNMENT AGENCIES USE CIDS3 HOW A CIVIL INVESTIGATIVE DEMAND WORKS4 CONSEQUENCES OF NOT COOPERATING5 POSSIBLE CRIMES AND PENALTIES LINKED TO CIDS6 HOW SPODEK LAW GROUP DEFENDS YOU7 STRATEGIC ADVICE: NO EXCUSES8 WHAT YOU CAN DO RIGHT NOW9 SHORT FAQ QUICK-REFERENCE10 CONTACT US FOR A RISK-FREE CONSULTATION […]
read moreWhat 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 moreWhat is MCA debt relief?
WHAT IS MCA DEBT RELIEF?MCA debt relief is a process that was designed to help business owners who are overwhelmed with merchant cash advances, which are short-term forms of financing. A merchant cash advance (MCA) is a form of unsecured business debt that works by providing you with fast capital, in exchange for a percentage […]
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 moreTampa MCA Defense Lawyers Business Debt Relief
Tampa MCA Defense Lawyers Who Provide Business Debt ReliefAre you a small business owner who is overwhelmed by merchant cash advances you took when you were struggling? Are you unsure about how to protect yourself from aggressive MCA providers in Tampa who are threatening you, your family, or your business? We can help you. Who […]
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 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 […]
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