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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.

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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
(Last Updated On: July 28, 2023)

Last Updated on: 28th July 2023, 07:31 pm

Here is a 1990 word article on FINRA Regulatory Defense Lawyers:

Being investigated by the Financial Industry Regulatory Authority (FINRA) can feel like your world is crashing down. As one of the top securities regulators in the U.S., FINRA has the power to impose hefty fines, suspend or ban brokers from working in the industry, and even refer cases to the SEC or criminal prosecutors. If your livelihood depends on maintaining your registrations and compliance record, you need legal representation from a reputable FINRA defense firm.

At the Spodek Law Group, our FINRA defense attorneys have successfully represented hundreds of financial advisors, brokers, and firms in regulatory investigations. We understand the nuances of securities regulations and how to build a strong defense strategy for common FINRA allegations like unauthorized trading, misrepresentation, suitability violations, and failure to supervise.

FINRA Investigations Are No Joke

While all businesses face occasional complaints or lawsuits from dissatisfied customers, the stakes are much higher in the securities industry. Unlike civil complaints that seek monetary damages, FINRA enforcement actions can permanently impact your ability to work in your chosen profession. Even minor infractions like sloppy record-keeping can trigger FINRA investigations that spiral into serious sanctions.

Once FINRA opens an investigation, you will likely receive a request for information seeking documents and a written explanation of the issues in question. At this stage, it’s critical not to go it alone. The biggest mistake we see people make when responding to FINRA is not retaining legal counsel early on in the process. Anything you submit to FINRA investigators can and will be used against you later.

As experienced FINRA defense attorneys, we advise clients to invoke their Fifth Amendment rights and avoid providing compelled testimony or evidence until we have reviewed the case.

There are strategic ways to cooperate with FINRA’s information requests without further incriminating yourself or your firm. An attorney can help craft responses that put you in the best light possible, correct any misunderstandings, and start mounting a defense.

Achieving Favorable Outcomes in FINRA Enforcement Actions

If FINRA decides to pursue enforcement actions, you will need experienced lawyers fighting for you every step of the way. Possible outcomes of FINRA enforcement actions include:

  • Letters of caution – A formal reprimand of objectionable conduct
  • Fines – Ranging from under $2,500 to $1 million+ per violation
  • Suspensions – Temporary bans on working in the industry
  • Bars – Permanent prohibition on associating with any FINRA member firm
  • Disgorgement – Repayment of allegedly ill-gotten gains

Lesser punishments like cautionary letters and fines often result in settlements. But make no mistake – FINRA settlements still represent formal disciplinary actions that stain brokers’ permanent registration records. According to FINRA statistics, the regulator imposed over $60 million in fines against firms and individuals in 2018 alone.

If you choose to contest FINRA’s charges and take your case to a disciplinary hearing, the stakes become even higher. Adverse rulings from FINRA hearing panels can destroy careers and livelihoods. Your defense team needs to be experienced in litigating before FINRA and willing to go to the mat at hearings if a fair settlement cannot be reached.

SEC Oversight Adds Another Layer of Risk

Beyond FINRA’s direct enforcement authority, there is also the possibility that the Securities and Exchange Commission steps in to investigate potential securities law violations. FINRA frequently alerts the SEC when their inquiries reveal evidence of fraud or other egregious misconduct.

Defending simultaneous investigations from FINRA and the SEC requires attorneys fluent in both sets of regulations as well as coordinating defense strategies. Firms or brokers found liable for securities fraud face harsh SEC penalties including:

  • Treble damages
  • Returns of ill-gotten gains
  • Industry and officer/director bars
  • Revocations of broker-dealer registrations

Given the range of possible sanctions, it is imperative to have a cohesive legal strategy and consistent messaging across both FINRA and SEC proceedings. One misstep could lead to cascading regulatory actions.

Why Choose Spodek Law Group For FINRA Investigations?

For over 10 years, Mr. Todd Spodek and Spodek Law Group have successfully defended brokers, advisors, and securities firms against FINRA inquiries and enforcement. Our proven track record stems from Mr. Spodek’s robust defense experience as both a former SEC attorney and a white-collar defense lawyer.

When you retain Spodek Law Group, you are working with attorneys intimately familiar with SEC and FINRA rules and enforcement procedures. We have handled regulatory investigations stemming from:

  • Customer complaints
  • Unauthorized trading
  • Misrepresentation and omission of facts
  • Insider trading allegations
  • Ponzi schemes
  • Registration violations
  • Supervision failures
  • Anti-money laundering deficiencies
  • Improper sales practices

Our FINRA defense lawyers take an aggressive yet strategic approach in negotiations to achieve the most favorable outcomes for our clients. Whenever possible, we work to limit sanctions and allow individuals and firms to move forward with their business. In litigated actions, we fight tenaciously on our clients’ behalf all the way through hearings and appeals.

Every FINRA investigation turns on its own unique facts and regulatory issues. For a free case assessment and consultation on the best path forward, contact our FINRA defense team at 212-300-5196. We will conduct a thorough review, explain all of your options, and start formulating a game plan. With an experienced defense attorney guiding you, the FINRA enforcement process becomes much less intimidating.

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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, and my company Qumana skincare feel comfortable and confident that the team was going to work hard for me. Everything...

~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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