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What 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 Can you refuse to testify at a grand jury? 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, […]
read moreReceived a FINRA 8210 Letter? Steps to Take Immediately
FINRA 8210 LETTER Why You Need to Care About This If you work in the securities industry, you may have heard of a FINRA 8210 letter. This letter that was created under the rules of the Financial Industry Regulatory Authority (FINRA) can be a very big issue, because using it – FINRA can demand that […]
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?
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 come next. You might be thinking you can fix it under the radar without anyone else knowing. You might be hoping you can just pay a […]
read moreFINRA WELLS CALL LAWYERS
FINRA WELLS CALL LAWYERS WHO WON’T TOLERATE EXCUSES If you’re on this page, there’s a strong chance you or someone you know has received a FINRA Wells Call. This is serious. No fluff. A FINRA Wells Call means a warning that was issued by the Financial Industry Regulatory Authority (FINRA Enforcement), telling you they are […]
read moreCan a Grand Jury Subpoena Lead to Medicare or Medicaid Fraud Charges?
CAN A GRAND JURY SUBPOENA LEAD TO MEDICARE OR MEDICAID FRAUD CHARGES? Yes, it can. That means, if you receive a grand jury subpoena that was sent by federal prosecutors, you could be at risk of serious legal trouble. At Spodek Law Group, which is a nationwide federal defense law firm created by Todd Spodek, […]
read moreFelony Falsification Of Business Records
FELONY FALSIFICATION OF BUSINESS RECORDS: WHAT’S AT STAKE You never think it will happen. One day, an investigator knocks on your door and accuses you of tampering with your company’s books, altering receipts, or hiding key information in financial statements. It sounds like a small detail, but felony falsification of business records is a serious […]
read moreFrequently Asked Questions by Brokers Under FINRA Investigation (FAQ Roundup)
FREQUENTLY ASKED QUESTIONS BY BROKERS UNDER FINRA INVESTIGATION (FAQ ROUNDUP) We are Spodek Law Group, a nationwide federal defense law firm that was created by Todd Spodek. If you’re a broker who was put on notice by FINRA (Financial Industry Regulatory Authority), you might be asking yourself how to handle this legal storm. We get […]
read moreHow Do I Know If I’m the Target of an SEC Investigation or Just a Witness?
HOW DO I KNOW IF I’M THE TARGET OF AN SEC INVESTIGATION OR JUST A WITNESS? The stakes are high. If the Securities and Exchange Commission (SEC.gov) has reached out to you, your life can change in an instant. One question often lingers in your mind: Am I the person they want to prosecute, or […]
read moreWhat Employees Should Know if Their Company Receives a Civil Investigative Demand
WHAT EVERY EMPLOYEE SHOULD KNOW IF THEIR COMPANY GETS A CIVIL INVESTIGATIVE DEMAND If you work at a company that was just served a Civil Investigative Demand (CID), you might be asking yourself one critical question: “What does this mean for me?” This is a common concern, especially if you’ve never heard of a CID […]
read moreWhat Happens If You Ignore or Refuse a Civil Investigative Demand?
CIVIL INVESTIGATIVE DEMAND A Civil Investigative Demand that was served by a government agency can feel like a shot out of the blue. You might be home, enjoying your day, when you get papers that demand documents, testimony, or answers to pointed questions. At first, it can feel confusing or even unfair. Many people wonder: […]
read moreWhat Happens If I Ignore an SEC Subpoena or Miss the Deadline?
WHAT HAPPENS IF I IGNORE AN SEC SUBPOENA OR MISS THE DEADLINE? If you’re on this page, it likely means you received a subpoena that was issued by the U.S. Securities and Exchange Commission (SEC), and now you’re wondering what happens if you ignore it or delay. Let me be brutally honest: ignoring an SEC […]
read moreWhat Is a Civil Investigative Demand (CID)? – Definition and Overview
WHAT IS A CIVIL INVESTIGATIVE DEMAND (CID)? What is a CID in an investigation? A Civil Investigative Demand (CID) is a powerful request that was created by federal agencies to gather information about possible wrongdoing. Government agencies, such as the Department of Justice or the Federal Trade Commission, use CIDs to investigate potential violations of […]
read moreBehind the Scenes of a CID: How Government Investigators Gather Evidence
BEHIND THE SCENES OF A CID: HOW GOVERNMENT INVESTIGATORS GATHER EVIDENCE What is the CID investigation process? 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 […]
read moreCivil Investigative Demand Response Do’s and Don’ts for Companies
CIVIL INVESTIGATIVE DEMANDS: WHAT YOU MUST KNOW By Spodek Law Group, a nationwide federal defense law firm created by Todd Spodek If you’re reading this, it’s because you’ve either received a Civil Investigative Demand (CID) from a government agency, or you’re worried you might get one soon in the mail, or in person. No one […]
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 moreFFIEC Compliance
FFIEC COMPLIANCE: WHY IT MATTERS AND HOW TO PROTECT YOURSELF Financial institutions that were established to handle people’s money face strict rules. These rules exist to prevent wrongdoing such as money laundering, fraud, and other illegal conduct. One important set of rules comes from the Federal Financial Institutions Examination Council (FFIEC), which is an interagency […]
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
CONGRESSIONAL SUBPOENAS: WHAT HAPPENS WHEN CONGRESS TARGETS A PRIVATE CITIZEN AS SEEN ON CAPITOL HILL, IN FEDERAL COURTROOMS, AND ALL MAJOR NEWS OUTLETS. If a committee on the Hill drops a subpoena on your doorstep, you are not dealing with a polite request. You are dealing with the plain, constitutional power of Congress to compel […]
read moreSubpoenas FEC
Subpoenas FEC: When Campaign Finance Investigations Turn Into Legal Nightmares The Federal Election Commission was born from scandal. After Watergate exposed the rot in American campaign finance, Congress created the FEC in 1974 to be the watchdog of political money. But here’s what they don’t tell you – this watchdog has dentures, not teeth. An […]
read moreSubpoenas Rule 45
FEDERAL RULE OF CIVIL PROCEDURE 45 (SUBPOENAS) AS SEEN ON MAJOR NEWS OUTLETS If you’re dealing with Federal Rule of Civil Procedure 45, it means someone is using a subpoena to command you (or a third party) to appear in court or turn over documents and other evidence. You do not have an option to […]
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 Rule 144a
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, and what might happen if you run afoul of the law. At Spodek Law Group – a nationwide federal defense law firm created by Todd Spodek – we know that […]
read moreCriminal Law PPP Loan Fraud Repayment Request
If you’re reading this after getting a DOJ letter requesting “voluntary repayment” of your PPP loan, then you’re likely thinking payment will make your problems disappear. When the Department of Justice sends that official notice citing 31 U.S.C. § 3729 and 18 U.S.C. § 1343, suggesting you can “resolve” everything by returning funds, most business […]
read moreHealthcare Compliance DEA Matters Pharmacy Red Flags Opioid Medications
HEALTHCARE COMPLIANCE & DEA MATTERS: WHAT EVERY PHARMACIST MUST KNOW ABOUT RED FLAGS AND OPIOID DISPENSING If you own, manage, or dispense for a pharmacy, you’re in the DEA’s crosshairs the moment a single oxycodone tablet leaves your counter without airtight documentation. No excuses. The Controlled Substances Act (CSA) gives federal agents sweeping power to […]
read moreHealthcare Compliance DEA Matters Letter of Admonition
Healthcare Compliance – DEA Matters Letter of Admonition REALITY CHECK. If you hold a DEA registration and you receive a Letter of Admonition (LOA), you just got a bright‑red warning flare from the U.S. Drug Enforcement Administration. It is not a criminal charge, yet it sits on your compliance record forever, and the next misstep can trigger an Immediate Suspension Order, civil penalties […]
read moreHealthcare Compliance Increase VA Fraud Investigations
HEALTHCARE COMPLIANCE UPTICK TRIGGERS MORE VA FRAUD INVESTIGATIONS Here’s the situation: Regulators who were focused on other parts of the healthcare system have turned their attention toward possible fraud in VA benefits. The Department of Veterans Affairs (VA.gov) works with providers who serve veterans, and the government is worried about improper billing, overcharging, or other […]
read moreHealthcare Compliance Anti-Kickback Statute
HEALTHCARE COMPLIANCE AND THE ANTI-KICKBACK STATUTE You need to hear this: The federal government is on high alert for healthcare providers who violate the Anti-Kickback Statute (OIG.HHS.gov), because it sees fraudulent referrals as a direct threat to patient trust and taxpayer dollars. If your practice, clinic, or hospital is not squeaky clean with its financial […]
read morePharmacy Audit Lawyers
PHARMACY AUDIT LAWYER: PROTECT YOUR BUSINESS Surprise audits are no joke in the pharmacy world. One day, you might be handling prescriptions like usual, and then out of nowhere, you receive a notice that was delivered by a Pharmacy Benefit Manager (PBM) or a government agency, telling you your records are about to be examined […]
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