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Spodek Law Group handles tough cases
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.

SEC Subpoena Representation

By Spodek Law Group | February 13, 2023
(Last Updated On: July 28, 2023)

Last Updated on: 28th July 2023, 07:32 pm

Answering an SEC Subpoena? You Need a Lawyer’s Guidance

What Triggers an SEC Subpoena?

The SEC often issues subpoenas during investigations into:

– Insider trading
– Accounting fraud
– Misleading disclosures
– Breaches of fiduciary duty
– Unregistered securities offerings

Data analysis and whistleblower tips alert them to potential violations. The SEC then starts issuing subpoenas to obtain evidence and testimony.

You have two options if you receive an SEC subpoena:

1. Comply without objection
2. Challenge with a lawyer’s help

My advice? Don’t go it alone. The risks are immense. Talk to an experienced securities attorney before responding.

How an SEC Subpoena Defense Lawyer Can Help

Here are some ways I protect clients hit with SEC subpoenas:

– Negotiate the scope to exclude certain documents or testimony
– Craft careful responses that reveal little and lock in witness accounts
– Move to quash improper or overly broad subpoena requests
– Claim privilege over materials that don’t have to be produced
– Prepare clients for SEC interviews and testimony

Mishandling document requests or interviews can tank your entire case down the road. My guidance ensures smart responses that don’t hand the SEC an easy win.

I also leverage my decade of insider SEC experience to read between the lines and devise strategy. Who are the SEC attorneys on the case? What’s their track record? This context proves invaluable.

Avoid SEC Charges and Penalties with Proactive Defense

The SEC wields tremendous power to seek disgorgement of profits, fines, and bars from the industry. But skillfully responding to subpoenas often prevents charges from ever being filed.

My advice is be proactive. Engage competent counsel at the first sign of SEC scrutiny. With my help, we can avoid massive headaches down the road.

Responding to an SEC Investigation – A Conversation with an Experienced Securities Lawyer

I understand the immense pressure faced when dealing with SEC investigators. Their scopes are broad, deadlines tight, and penalties severe. But working collaboratively, we can respond strategically to avoid charges. Here’s how:

The SEC Investigative Process Step-By-Step

First, the SEC must issue a Formal Order of Investigation to open a case. This outlines the suspected violations.

Next, a series of subpoenas demand documents, emails, text messages, and other evidence. Complying fully and on time is critical, so organization is key. My team helps efficiently gather everything requested.

The SEC will also issue subpoenas to interview witnesses under oath. As your lawyer, I’ll prepare you for testimony, stressing consistency and caution regarding what’s said. Gaffes here often fuel charges down the road.

Wells Notices come next if the SEC believes it has evidence of violations. This summarizes allegations and provides a final chance to argue against charges before enforcement recommendations. Drafting persuasive Wells submissions is my specialty.

Finally, the SEC makes a charging decision. My goal is to avoid charges altogether through savvy responses highlighting holes in their case. But if enforced, I leverage relationships and know-how to mitigate outcomes.

Common SEC Violations Under Investigation

While cases vary, typical issues I see include:

Accounting Fraud – Misstating financials, false revenue recognition, manipulating forecasts, insider trading based on financial misdeeds.

Misleading Disclosures – Inaccurate or omitted information about business lines, risk factors, management changes.

Unregistered Securities – Selling securities without properly registering with the SEC, fundraising violations.

Insider Trading – Trading on material nonpublic information, or tipping others to trade.

FCPA Violations – Bribing foreign officials to win business abroad.

Breaches of Fiduciary Duty – Corporate officers acting against shareholders’ best interests.

There are many other violations, but these make up a large chunk of daily SEC enforcement.

Why SEC Matters Require Experienced Counsel

Simply put, the risks and complexities demand expertise. Here’s how I help:

  • Leverage relationships with SEC attorneys to promote cooperation and transparency.
  • Provide insight into enforcement strategies based on my prosecutorial background.
  • Avoid common mistakes that turn investigators against you.
  • Tell your story persuasively to undermine allegations.
  • Negotiate lighter sanctions if charges are ultimately filed.
  • Navigate Wells Notice responses, presentation rehearsals, and settlement agreements.
  • Assemble top-notch forensic accountants, investment banking experts, and investigators.

SEC scrutiny is daunting. But robust preparation and legal guidance significantly reduces risk. Let’s connect to discuss your matter in a free, no-strings consultation. I can’t wait to start formulating a plan to protect your interests.

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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 feel comfortable and confident that the team was going to work hard for me. Everything was explained and any concerns...

~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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