Covered by NYDaily News. Las Vegas man accused of threatening a prominent attorney and making vile remarks.
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.
Accused of stalking Alec Baldwin. The case garnered nationwide attention, with USAToday, NYPost, and other media outlets following it closely.
Juror who prompted calls for new Ghislaine Maxwell trial turns to lawyer who defended Anna Sorokin.
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.
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.
Last Updated on: 19th October 2023, 12:32 pm
Getting a subpoena from the SEC can be intimidating. But don’t panic! With the right legal help, you can get through it. This article will walk you through what an SEC subpoena is, what it means for you, and how an attorney can help.
There’s a few reasons you may have gotten an SEC subpoena:
The SEC doesn’t need to tell you why they’re investigating or if you’re a target or witness. But an experienced SEC defense attorney can usually figure it out from the subpoena requests and help protect your interests.
The SEC will give you a deadline to respond to the subpoena, usually a few weeks to a month or more. As soon as you get it, you should contact an attorney experienced with SEC investigations and subpoenas. They can help you:
An SEC subpoena response is highly strategic. What you disclose and how you disclose it can impact the investigation. You want to be cooperative without giving the SEC ammunition they could use against you. An attorney knows how to walk this line.
Not everything the SEC asks for has to be turned over. As an attorney, I can assert privileges and protections such as:
Determining what’s privileged takes legal expertise. I work to protect sensitive information without obstructing the investigation. That balance is key to resolving the matter favorably.
The Fifth Amendment right against self-incrimination lets you refuse to testify or provide information that could implicate you in a crime. Whether to assert it is a strategic decision. On one hand, it avoids creating evidence the SEC could use against you. But on the other, it can make you look guilty.
Here are some factors I consider when advising clients whether to assert the Fifth:
There’s also something called “act of production privilege” – asserting the Fifth to avoid turning over documents that just possessing may incriminate you. This only applies in certain circumstances. As your attorney, I can advise you on whether it’s appropriate.
After you respond, the SEC will review the information and decide next steps. Possible outcomes include:
Throughout this process, I work to put you in the best position by:
My goal is resolving the matter without litigation or minimizing the impact if it goes to court. The right legal strategy can often achieve this.
One common area the SEC investigates is improper financial reporting and accounting fraud. Some key issues that arise in these cases include:
Defending complex accounting cases requires understanding GAAP standards and financial statement requirements. As an experienced SEC enforcement attorney, I have the technical expertise to handle these matters.
Another common SEC subpoena targets insider trading – using non-public information to trade stocks. Key insider trading issues include:
Fighting insider trading charges requires meticulously reconstructing timelines of who knew what when. As your attorney, I dig into phone records, trading data, and other forensic evidence to build the best defense.
The SEC also investigates market manipulation schemes like:
In market manipulation cases, the SEC looks for evidence of coordinated trading patterns across multiple accounts and parties. As your attorney, I can identify other possible explanations for unusual trading activity. I also work with market experts to undermine the SEC’s theories.
If the SEC staff decides they intend to recommend charges against you, they will first send a Wells notice informing you of the charges. This starts a Wells process where we can submit a Wells submission to the SEC arguing why the charges are unfounded before they are officially brought. I help clients craft persuasive Wells submissions that have convinced the SEC to reverse course in many cases.
The Wells notice may also give you the opportunity to request a Wells meeting with SEC staff to personally make your case. I prepare clients for these critical meetings, helping them tell their side in the most compelling way possible. In some cases, we’ve been able to convince the SEC to drop the matter altogether.
They say an ounce of prevention is worth a pound of cure. Some tips to avoid SEC trouble in the first place:
Setting up robust compliance early allows you to demonstrate good faith if issues later arise. I regularly advise clients on designing programs tailored to their needs.
Navigating an SEC subpoena without experienced counsel is extremely risky. The downside of missteps includes:
An attorney knows how to respond strategically in your best interest. The right legal advice can mean the difference between a favorable outcome or severe penalties. Don’t go it alone.
When facing an SEC subpoena, who you choose as counsel is critical. Look for a lawyer with:
I have over 15 years handling complex SEC matters just like yours. My firm has the expertise and resources to protect your interests in this investigation. If you’ve been subpoenaed, I encourage you to contact me for a free consultation. I’m here to help.
Please fill out the form below to receive a free consultation, we will respond to
your inquiry within 24-hours guaranteed.