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What Does It Mean If I Receive an SEC Subpoena? Understanding Your Next Steps
WHAT DOES IT MEAN IF I RECEIVE AN SEC SUBPOENA An SEC subpoena that was sent to you can feel like a sudden shock to your life. This document that came from the U.S. Securities and Exchange Commission (SEC) means the government wants information from you, often about violations of securities laws. The SEC might […]
read moreBehind the Scenes of a CID: How Government Investigators Gather Evidence
BEHIND THE SCENES OF A CID: HOW GOVERNMENT INVESTIGATORS GATHER EVIDENCE 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 Bureau of Investigation, finding documents that […]
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 moreInternal Audit Consulting How to Conduct
Internal Audit Consulting How to Conduct When Federal Regulators Come Knocking – Your Company’s Financial Records Under Investigation You’re sitting in your office, reviewing quarterly reports when two people in dark suits flash FBI badges. They hand you a federal grand jury subpoena demanding every internal audit document from the past five years. This isn’t […]
read moreInternal Audit Consulting FCPA Compliance
The FCPA Started as Nixon’s Problem in 1977 So the Foreign Corrupt Practices Act – it was never supposed to exist. Back in 1973, when the Watergate special prosecutor was digging through corporate records looking for illegal campaign contributions, they stumbled onto something worse. Lockheed Martin had been paying millions in bribes to Japanese officials […]
read moreSecurities Litigation SEC Fraud Defense Ponzi Scheme
SECURITIES LITIGATION & SEC FRAUD DEFENSE PONZI SCHEME ALLEGATIONS FACING AN SEC SUBPOENA? Stop talking, start planning. If the government thinks you’re running a Ponzi scheme, you’re staring at civil injunctions, asset freezes, disgorgement, crippling fines — and yes, federal prison. We’re Spodek Law Group. We defend the cases other firms call unwinnable, and we’re going to tell […]
read moreRule 8210 Requests
RULE 8210 REQUESTS If you are working in the financial sector and receive a Rule 8210 request that was issued by FINRA, you are probably scared about what comes next. A Rule 8210 request is a formal demand for documents or testimony related to an investigation by the Financial Industry Regulatory Authority (FINRA). If you […]
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 Fraud Defense Short Selling Abuse
SECURITIES LITIGATION SEC FRAUD DEFENSE SHORT SELLING ABUSE If you think securities fraud isn’t serious, you’re kidding yourself. Charges related to short selling abuse or SEC fraud can ruin your life—if you let them. At Spodek Law Group, we understand that facing an investigation by the U.S. Securities and Exchange Commission is not a simple […]
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 moreFTC Defense Penalty Offense Authority
The FTC’s New Enforcement Powers Changed Everything in 2022 The Federal Trade Commission gained the ability to seek civil penalties, without warning letters, for conduct they deem similar to behaviors outlined in historical cease-and-desist orders dating back to the 1960s. Before April 2022, marketing violations usually resulted in a warning letter first. Now the FTC […]
read moreFTC Defense Compliance Tips
FTC DEFENSE COMPLIANCE TIPS Spodek Law Group, is a nationwide federal defense law firm created by Todd Spodek, and we have over 50 years of combined experience. We are dedicated to helping you navigate the Federal Trade Commission (FTC) regulations that were enacted to protect consumers, and we fight to ensure our clients are treated […]
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 […]
read moreMAC Audits
MEDICARE MAC AUDITS — THE FEDERAL SPOTLIGHT YOU CAN’T IGNORE If you think a Medicare Administrative Contractor audit is “routine paperwork,” you’re wrong. It’s a federally backed investigation into your billing integrity, and it can bankrupt a clinic that handles everything else flawlessly. AS SEEN BY CMS — WHAT A MAC AUDIT REALLY IS Medicare Administrative Contractors (CMS.gov/Medicare) process $400‑plus billion in claims annually. Congress […]
read moreMedicaid Audits
MEDICAID AUDITS If you accept payments from Medicaid, you need to know that government auditors can review your claims at any time. Medicaid is a joint federal and state program, so both federal and state agencies may investigate your billing. Audits can be stressful, but if you understand what to expect, it becomes easier to […]
read moreIs Your Company Under Investigation by BIS CPB DOS or OFAC for Import Export Violations
IS YOUR COMPANY UNDER INVESTIGATION BY BIS, CBP, DOS, OR OFAC FOR IMPORT EXPORT VIOLATIONS? UNDERSTANDING WHY THIS MATTERS Companies that are involved in trade often face scrutiny from agencies that are responsible for enforcing import and export laws. If you are being investigated by the Bureau of Industry and Security (BIS), the U.S. Customs […]
read moreFederal Compliance and Defense Representation for Importers
FEDERAL COMPLIANCE AND CRIMINAL DEFENSE FOR U.S. IMPORTERS If you import goods into the United States, you have to follow many federal rules. Customs (CBP), Homeland Security Investigations (HSI), and other agencies inspect and monitor shipments. If they find major errors in your paperwork, or see something suspicious, you might end up investigated for crimes. […]
read moreBilling Fraud
BILLING FRAUD EXPLAINED: WHAT IT IS AND HOW WE FIGHT IT By Spodek Law Group, a top rated, nationwide criminal defense law firm created by Todd Spodek Billing fraud is a term that refers to any dishonest act, or scheme, that was designed to cheat individuals, insurers, or government agencies out of money. This crime […]
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