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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.

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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.

FINRA Regulatory Defense Lawyers

By Spodek Law Group | May 17, 2018
Understanding FINRA and the Impact on the Securities Industry

The Financial Industry Regulatory Authority (FINRA) is charged with the responsibility of monitoring and overseeing the function of brokers and securities firms within the United States. With authority granted by Congress, FINRA accomplishes this oversight by establishing regulations that apply to different sectors of the financial industry. That includes the securities industry.

The goal of the regulation and accompanying oversight is to promote integrity and honesty with the financial community. Doing so makes it harder for those with less than honorable intentions to abuse the trust placed in them by investors. When and as FINRA identifies a possible breach of established laws and regulations, legal action is likely to ensue.

FINRA’s Structure

The body functions with the support of a Board of Governors. This Board is headed by a Chief Executive Officer proper and the Chief Executive Officer of NYSE Regulations. 11 are designated as Public Governors. There are also three governors representing small firms, one for mid-sized firms, and three for large firms. An independent dealer and a floor member governor round out the Board.

The Scope of FINRA

FINRA approaches the task of maintaining integrity in the financial industry in several ways. One has to do with monitoring activities in each of the financial markets. Anything that shows signs of being questionable practices or actions is monitored closely. If the evidence indicates fraudulent activity, steps are taken to stop the action and hold the responsible parties accountable.
Investor education is another function fulfilled by FINRA. Resources are provided for investors who are just beginning to build portfolios, those who are interested in learning more about different markets, and even seasoned investors. The idea is that more informed investors are less likely to be taken in by some type of financial scam. They will also be more adept at spotting questionable practices and reporting them if necessary.

Compliance and the enforcement of current regulations is also part of what FINRA does. Brokers agree to abide by those regulations, as well as any type of investment firm. If a firm or an independent broker fails to do so, FINRA has the authority to take action. When investors file claims, FINRA investigates those claims and imposes disciplinary measures if the findings indicate action is warranted.

While education, monitoring, and enforcing current regulations are all part of FINRA’s work, crafting new rules related to the securities industry is also an integral function. The scope of those new rules impact investors, member brokers, investment firms, and even the Securities and Exchange Commission. New rules are typically drafted when and as needed, and must be reviewed by FINRA committees to ensure they are not in conflict with other regulations. Once the FINRA committee reviews are completed, the proposed rules are submitted to the SEC for further review and possible implementation.

Arbitration is also one of the ways FINRA carries out its responsibilities. The arbitration may be between investment firms and their employees, investors and brokers, or between investors and investment firms. Arbitration does not eliminate the right of either party to file class action suits if desired.

With 20 regional offices and official headquarters in Washington, DC and New York City, FINRA seeks to prevent corruption of the investment process. Parties who are facing charges of misconduct can seek help from a FINRA regulatory defense attorney. The firm of Farar & Lewis LLP stands ready to provide that defense.

FINRA is the organization responsible for the oversight of securities firms, and broker activities. Congress has authorized FINRA to regulate various areas of the financial industry in the USA. FINRA’s goal is to decrease the chances an unscrupulous business, or individual, of taking advantage of honest investors. This is done by overseeing players in the US financial markets.

FINRA monitors financial markets, and detects fraudulent activity where it may occur. It has the technical capabilities of providing a detailed analysis of financial markets. FINRA can determine when any type of activity in financial markets is an anomaly, or associated with fraud. FINRA keeps the public safe from financial fraud, and discovers unethical practices. FINRA categorizes brokers/brokerages, who act unethically, and provides this information in their database. This helps investors know if they are working with a properly licensed and registered broker/brokerage or not.


If you’re being investigated by FINRA, it’s critical you hire a FINRA regulatory defense attorney to help defend you. Brokerages, and brokers, have all agreed to comply with FINRA’s by-laws. This covers things such as how a brokerage/broker operated, and how investment products are promoted. If you are accused of not following these standards, then you could face a disciplinary action. If an investor files a complaint about suspicious activity with FINRA, then an investigation will immediately be started. Despite your best efforts to comply with all the rules and regulations, many professionals will find themselves defending their activities in front of FINRA eventually. We have experience representing financial services clients with inquiries initiated by regulatory bodies such as the SEC, FINRA, CFTC, and other government entities. We can help represent firms and professionals respond to subpoenas, in addition to Rule 8210 requests, as well as on the record interviews.

FINRA Disciplinary Proceedings Lawyers

When a broker/firm gets a FINRA Rule 8210 letter requesting information, or indicating they are the subject of a FINRA investigation – then we encourage you to contact our firm. If you’ve received a Wells Notice, advising that the SEC / FINRA is contemplating bringing an enforcement proceeding for a violation of laws and regulation – then it might be time to speak to an attorney who can help you.

Our team of attorneys thoroughly reviews all aspects of your case, and we advise our clients on the best way to minimize their exposure to potential proceedings, and sanctions. We help our clients ensure they are getting fair treatment. We work to resolve matters as quickly as possible, before they turn into formal disciplinary hearings. When the issue can’t be handled through informal actions, our attorneys can defend you in formal disciplinary proceedings.


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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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