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FINRA Wells Notice Explained
A Wells Notice means FINRA has already decided to come after you. The investigation is over. The evidence has been gathered. The staff has reviewed the facts and concluded that you probably violated securities laws or FINRA rules. Now they’re telling you what charges they intend to recommend – and giving you a brief window […]
read moreDo I Have to Tell Employees About SEC Subpoena
Do I Have to Tell Employees About SEC Subpoena There’s no legal requirement to announce an SEC subpoena to all employees. That’s the short answer. The SEC doesn’t require you to call a company-wide meeting and disclose that federal investigators are looking at your books. But here’s what will destroy you if you don’t understand […]
read moreWhat Is a FINRA Investigation?
A FINRA investigation is not what you think it is. Most people assume it’s like a government inquiry, something with constitutional protections, the right to remain silent, due process. It’s not. FINRA is a private nonprofit organization that has been given the authority to regulate the entire brokerage industry – and to permanently end your […]
read moreEmployee Rights During SEC Investigation
Employee Rights During SEC Investigation Your employer is not on your side during an SEC investigation. That’s the first thing you need to understand. The lawyer your company sends to interview you doesn’t represent you. The HR person scheduling that meeting isn’t looking out for your interests. Everything you say in that conference room will […]
read moreDifference Between SEC Inquiry and Enforcement Action
The difference between an SEC inquiry and an enforcement action is the difference between being aimed at and being hit. They’re not separate stages you move through sequentially. The inquiry is where they build the enforcement action. By the time you’re asking about the distinction, the bullet is usually already in flight. You just don’t […]
read moreSEC Subpoena vs Formal Investigation
If you’re searching for the difference between an SEC subpoena and a formal investigation, you’ve already misunderstood the situation. There is no difference. The SEC cannot issue a subpoena without first obtaining a formal order of investigation. If you received a subpoena, you’re already in a formal investigation. The question answers itself. This isn’t a […]
read moreCan SEC Interview My Employees Without Me
Yes. And they probably already have. That’s the answer nobody wants to hear when they search this question. You’re looking for reassurance – maybe some rule that requires notification, some process that keeps you in the loop, some protection that ensures you know what’s happening inside your own company. But here’s the reality: the SEC […]
read moreWhat Does an SEC Subpoena Mean
The SEC subpoena demands everything from you while telling you almost nothing. You don’t know if you’re the target of the investigation or just a witness. You don’t know if it’s civil or criminal. You don’t know what they suspect you did. This information asymmetry is intentional. The SEC keeps you in the dark so […]
read moreWhat Triggers SEC Referral to DOJ
What Triggers SEC Referral to DOJ The referral already happened. You just don’t know it yet. That’s the part nobody explains when you search for “what triggers SEC referral to DOJ.” You’re looking for a list of factors, some warning signs, maybe a threshold you haven’t crossed yet. But here’s the reality: by the time […]
read moreCan SEC Investigation Lead to Criminal Charges
The SEC investigation is the criminal investigation. You just don’t know it yet. By the time someone tells you the Department of Justice has “taken an interest” in your case, you’ve already given them everything they need to prosecute you. That’s how this works. That’s what nobody explains until it’s too late. Here’s the structure […]
read moreWhat Happens If You Don’t Respond to SEC Subpoena
Ignoring an SEC subpoena to keep the investigation quiet is the exact thing that makes it public. The enforcement action creates permanent court records that didn’t exist before. Confidential investigations stay confidential if you comply. The moment the SEC files an enforcement petition, that becomes a public court filing. Journalists monitor these filings specifically. Terraform […]
read moreIs an SEC Subpoena Serious?
Is an SEC Subpoena Serious? If you’re asking whether an SEC subpoena is serious, you already know the answer. You’re not asking because you genuinely don’t know. You’re asking because you’re hoping someone will tell you it’s not that bad, it’s routine, it’ll go away. That answer doesn’t exist. The SEC doesn’t issue subpoenas casually. […]
read moreDifference Between SEC Inquiry and Enforcement Action
The Question You’re Really Asking The question isn’t “what’s the difference between an SEC inquiry and an enforcement action.” The question is “have they already decided I’m guilty, or am I still being evaluated?” An inquiry is the SEC gathering facts to make a decision. An enforcement action is the SEC announcing the decision they’ve […]
read moreMistrial and Double Jeopardy
What is a Mistrial in a Criminal Case in New York? You sat through jury selection. You sat through opening arguments. You watched witnesses testify for days. Then the judge said one word and everything disappeared. Mistrial. The jury is dismissed. The courtroom empties. And you’re standing there wondering what just happened to your life. […]
read moreFirst Step Act Safety Valve Changes
You’ve probably heard that the First Step Act “expanded” safety valve eligibility for federal drug defendants. It passed in December 2018 with bipartisan support, and articles everywhere describe it as the most significant criminal justice reform in a generation. More defendants can now qualify for sentences below mandatory minimums. More people have a chance at […]
read moreSwatting Charges Lawyers
The FBI showed up at your door because someone traced a 911 call to your IP address. The call claimed there was a hostage situation at a congressman’s house three states away. You know you didn’t make that call. But the federal agents have records showing the call originated from your internet connection, and they […]
read moreDEA Investigation Pharmacist
The DEA investigator stood in your pharmacy with a folder of inventory reports showing an eighty-three pill discrepancy in oxycodone over the past six months. Eighty-three pills out of thousands dispensed. You thought the records were accurate. You thought your staff was trustworthy. But now you’re facing a federal investigation that could end your career, […]
read moreNYC Pepper Spray Laws
NYC Pepper Spray Laws: What’s Legal and What Gets You Arrested Your allowed to defend yourself in New York City. But not too effectively. Pepper spray is legal. Tasers arent. Knives over four inches arent. The state has decided exactly how much pain your permitted to inflict on someone whos attacking you – and theyve […]
read moreNassau County Employment Immigration Lawyers
You graduated with a master’s degree in computer science from an American university. Your employer offered you a job and said they’d sponsor your H-1B visa. You registered for the lottery, waited anxiously, and then got the news: not selected. Neither were 330,000 other people who registered that year. Your OPT expires in four months, […]
read moreEscobedo v. Illinois
Why This “Overruled” Case Still Protects Your Rights Today In 1964, the Supreme Court decided Escobedo v. Illinois, holding that police had violated Danny Escobedo’s constitutional rights by denying him access to his attorney during interrogation. The decision was groundbreaking – for the first time, the Court recognized that the right to counsel attaches before […]
read moreMalicious Allegations
Why the Window Before Charges Determines Everything Being falsely accused of a crime is one of the most terrifying experiences a person can face. Your reputation, your freedom, and your future suddenly hang in the balance because of someone else’s lies or mistakes. The natural instinct is to fight back, to prove your innocence, to […]
read moreTheft of Service Charges
Theft of Service Charges: When a Billing Dispute Becomes Criminal You walked out of a restaurant thinking your friend paid the bill, or you disputed a charge with your cable company and now there is a warrant for your arrest, or maybe you got into an argument with a contractor and refused to pay for […]
read moreFirst Step Act Safety Valve Changes
What Actually Changed (And the Guidelines Gap Nobody Explains) You’ve probably heard that the First Step Act “expanded” safety valve eligibility for federal drug defendants. It passed in December 2018 with bipartisan support, and articles everywhere describe it as the most significant criminal justice reform in a generation. More defendants can now qualify for sentences […]
read moreQueens Green Card Lawyers
You came to America on a tourist visa seven years ago. You met someone, fell in love, got married to a U.S. citizen. Now you want to get your green card and finally fix your immigration status. Your spouse files the I-130 petition, it gets approved, and everyone tells you the next step is a […]
read moreLos Angeles Drug Trafficking Defense Lawyers
Spodek Law Group We’re a nationwide, federal defense law firm, with over 50 years of combined experience. If you’re accused of drug trafficking, we encourage you to schedule a risk free consultation with our criminal defense attorneys today. Federal agents showed up at your door in Los Angeles with a search warrant. They found two […]
read moreFederal Drug Safety Valve Eligibility
Federal Drug Safety Valve Eligibility: What Pulsifer v. United States Changed (And Why Most Articles Get It Wrong) You’re facing federal drug charges with a mandatory minimum sentence. Maybe it’s five years. Maybe it’s ten. Maybe it’s twenty. Your attorney mentioned something called the “safety valve” – a way to get a sentence below that […]
read moreDirect Appeal vs Habeas Corpus
Direct Appeal vs Habeas Corpus: Understanding Your Two Shots at Post-Conviction Relief You lost at trial or you took a plea deal and now you are staring at a federal sentence. The question burning in your mind is whether there is any way to challenge this conviction, to get another look at your case, to […]
read moreFederal Career Offender Drug Trafficking
Federal Career Offender Drug Trafficking: The Categorical Approach Escape That Saves Defendants Your lawyer just told you that you qualify as a “career offender” under the federal sentencing guidelines. Maybe you have two prior drug convictions and you’re facing another federal drug charge. And you’ve heard that career offender status can add ten years or […]
read moreFederal Methamphetamine Mandatory Minimums Lawyers
Federal Methamphetamine Mandatory Minimums Lawyers You were arrested with thirty grams of methamphetamine. Your friend was arrested the same week in a different district with the same amount. He received five years in federal prison. You received ten. The meth was identical, the quantities were identical, but the lab in his district tested it one […]
read moreDEA Investigation Pain Management Clinic
You spent years building a pain management practice. You took the difficult cases other doctors refused. You accepted patients who traveled hours because no one closer would help them. You provided compassionate care to people in genuine, documented pain. Now federal agents are at your door with a search warrant, and everything you did to […]
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