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Accused of stalking Alec Baldwin. The case garnered nationwide attention, with USAToday, NYPost, and other media outlets following it closely.

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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.

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what to do if you receive a finra 8210 letter

By Spodek Law Group | July 19, 2023
(Last Updated On: July 27, 2023)

Last Updated on: 27th July 2023, 04:34 pm

Responding to a FINRA Rule 8210 Information Request

Receiving a request from FINRA for information and documents under Rule 8210 can be intimidating. However, proper responses are critical, and experienced counsel can help navigate the process smoothly. Here is comprehensive advice:

Why FINRA 8210 Letters Matter

  • FAILURE TO RESPOND triggers mandatory suspension, and even potential expulsion, from the securities industry.
  • INFORMATION PROVIDED can lead to significant fines, suspensions or bars if rule violations surface.
  • SCOPE IS BROAD allowing FINRA to request essentially anything it deems relevant.
  • TIMELINES ARE TIGHT – only 25 days to respond absent extensions.
  • SANCTIONS HAVE TEETH including industry bars, 7-figure fines, erased exam qualifications.

Clearly, Rule 8210 is not something to take lightly. Retaining professional representation early to handle responses is highly recommended.

How to Find an Attorney to Respond to FINRA 8210 Requests

Cast a wide net using these techniques:

  • Search law firm websites for FINRA enforcement groups.
  • Consult state and local bar associations for referrals.
  • Network with industry professionals who faced 8210 inquiries previously.
  • Review lawyer & law firm review sites like Martindale Hubbell and Avvo.
  • Search industry publications for articles by lawyers on FINRA matters.
  • Look up past FINRA cases to identify experienced attorneys.

Where to Focus Your Search for a FINRA Attorney

  • Major banking hubs like New York, Charlotte, Chicago etc.
  • Law firms with security industry niche practices.
  • Boutique investment advisor and broker-dealer firms.
  • Large national securities enforcement practices.
  • Smaller, cost-effective solo FINRA practitioners.

Avoid dabblers. Vet lawyers thoroughly for Rule 8210-specific expertise.

Key Factors in Selecting Rule 8210 Counsel

When comparing potential hires, prioritize:

  • Direct FINRA enforcement experience – ideally including insider knowledge from working at FINRA itself.
  • Rule 8210 response expertise – ask about number handled and outcomes.
  • Ability to identify and prepare precisely responsive documents – nothing more, nothing less. Overproducing can cause issues.
  • Skill for crafting sworn written responses that are complete yet protective of the client.
  • Familiarity with current senior FINRA enforcement personnel – relationships can be leveraged.
  • Registration status – all lawyers appearing before FINRA must be registered generally.
  • Track record getting positive resolutions of inquiries vs escalations to formal actions.
  • Clear communications style and commitment to keeping clients informed.
  • Reasonable fee structure – requests often expand so budget predictability is key.

FINRA treats Rule 8210 seriously, so retain counsel accordingly. With an experienced attorney’s counsel, you can respond transparently while also protecting rights and minimizing any downstream impacts.

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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

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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

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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...

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