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White Glove Service. Excellent Results. Strong Reputation.

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Nationwide Legal Representation

We are an elite criminal defense law firm, that emphasizes providing the best service and professionalism to all clients. We service a curated clientele nationwide – that expect the best from their lawyer. We handle tough criminal defense and legal situations that require deep knowledge, experience, dedication, and excellence in order to win. We have over 50 years of combined experience, handling national and international cases.

Service Matters

Excellent results begins with top notch service. We treat you like family, and you always know what's going on with your criminal defense case.

Work Directly

When you hire our law firm, you work directly with a senior criminal defense attorney only. This ensures the best results possible.

Who We Are

We 100's of 5 star reviews, and have been featured in the media. We are a premier law firm who understands how to win cases.

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Top Rated Attorneys

The Spodek Law Group is one of the most successful law firms in the USA. Our success comes from the fact we are attentive to details, and take a very pragmatic approach to each and every single case. Our clients turn to us for realistic advice – so they can make the appropriate decisions they need to make personally. Our goal is to make sure your case ends in a positive outcome, not only personally – but for your family as well.

 



FINRA Rule 8210 Lawyers

The Financial Industry Regulatory Authority, Inc. (FINRA) is a private organization that is self-regulatory within a wide array of industries (pretty much all of them). Financial advisors have a responsibility to account for their firm’s spending and accounting, and when they fail to do this they can find themselves the focus of Rule 8210 notice from FINRA. It’s one of the most dreaded notices you can receive from any regulatory body, and if you’ve just received notice that they’re going to start an inquiry into your conduct as a financial advisor, you’re likely stressed out and afraid. It’s a subpoena, and it’s not optional, so you ARE facing a situation where you’re going to need a lawyer as soon as possible. This isn’t something anyone should face alone.

Reasons for a FINRA Subpoena

If you’ve received this notice, it’s natural to wonder what you did to trigger this kind of investigation. Most folks think they’re doing a fine job until they receive something that says they’re being investigated to the degree that they’re requesting personal AND business documents. Some of the things that they might start an investigation over would include strange activity on client accounts, a customer complaint, or a firm you once worked for tipping them off that you might have engaged in misconduct during your time with them. None of these things are pleasant to be accused of, and it’s natural to respond with anger, bitterness, and fear. This is a serious thing. A lawyer is always the first person you want to call, and SPODEK LAW GROUP is full of lawyers who have the experience you need to overcome legal issues like this. It’s one of our many areas of expertise.

The first thing an advisor will get is the Rule 8210 notice telling you that they’re doing an informal inquiry. This means you don’t have to report anything about this inquiry on your FORM U4, and so you’ve not been formally charged with anything and it won’t hurt your current work as an advisor. It DOES mean that they’re investigating whether or not you violated securities or industry rules and regulations. This is THE point where you want the investigation to conclude. Facing a formal investigation is going to be nerve racking and you will have to report this on your Form U4. This can be detrimental to your career.

FIRNA is going to do a few things during an informal inquiry. They’ll send interrogatories and documents. This falls under the part of the Rule that is called “Provision of Information and Testimony and Inspection and Copying of Books.” Please be advised that yes, this is an intimidating string of words and a bunch of legal jargon here that you may not understand. You’re a financial advisor, so this is outside your scope of expertise. The people to call in to explain things like this to you: SPODEK LAW GROUP. With over 40 years of experience defending people being informally AND formally investigated by FIRNA, we know exactly how to handle these situations and stop an investigation early, before it escalates.

Remember: You HAVE to respond to this part of the rule! You can’t ignore it! The wording states: “No member or person shall fail to provide information or testimony or to permit an inspection and copying of books, records, or accounts pursuant to this Rule.” If you get this request, it’s time to follow it, no questions asked. It’s not your decision and failing to follow this provision can mean horrible consequences. You can be suspended if you fail to comply.

There are many steps to take if you’ve received a subpoena , but your lawyer is the best person to guide you here. You don’t want to do homemade Internet steps to take care of a FIRNA investigation because no matter how well-meaning the website, the rules here are too intricate to explain in 1,000 words or less. This is something that even lawyers often grapple to understand when they first start working on the cases, and remember, this is technical financial industry language, regulatory language, so it’s not something you’re going to have a firm grasp of. The person who will have a firm grasp on all these rules and the procedures for responding to an informal or formal inquiry is your faithful lawyer.

We understand completely that you might be panic-stricken over an accusation of wrong-doing, but remember: It’s just an accusation! Nothing has been decided against you yet, you still have your career intact, and there’s a good chance that with a solid lawyer on your side, this will all blow over IF you follow the proper procedures. Your lawyer will need to know the facts behind what triggered the FIRNA subpoena, what you might have done to contribute to it, and then it’s time for you and your lawyer to construct your written response to the ongoing informal inquiry. Don’t use a do it yourself approach here, as it can literally cost you your career and sometimes even result in formal charges.

Once you and your lawyer have constructed and sent your formal written response, be patient. It can take FIRNA six months to respond back to you, and yes, every moment of that can be stressful. With a good lawyer on your team, though, you know that you’re in good hands and that whatever turn the investigation takes, your lawyer is prepared to deal with it and defend you to the fullest. No one wants to be notified of this type of investigation. It’s natural to be afraid, to worry, and to struggle at times. Lean on your law firm, though, to make the right legal decisions for you in your case. Hiring an experienced firm like SPODEK LAW GROUP can make all the difference. You’re in competent hands when you’re with us, some of the best hands you can be in for your situation.

Above all, don’t ignore your inquiry! Call us today and let us help you.


Charle Butler
Charle Butler
2021-03-12
I was hesitant to hire the Spodek Law Group. I read reviews and knew they have a great reputation. However, I thought I would spend money and not see or speak to my attorney. From the beginning to end of my case Todd and the entire staff were available and willing to help. We worked towards and end result that was way above my expectation and Todd delivered. I am forever grateful for patience and long days and night spent working on my case. Thanks Todd and the entire team!
Mesonista parsons
Mesonista parsons
2021-03-05
My attorney at Spodek was Abigail. She was very knowledgeable and helpful with all my questions and concerns, as well as responsive. Her fees are affordable and Abigail took the time to make sure I understood everything relating to my case. I highly recommend Abigail and will request her services in the future.
debabrata chakraborty
debabrata chakraborty
2021-03-03
Todd A Spodek is the experienced and best criminal lawyer at USA. He is very professional and always respond on time. Alex also very cooperative and always help me. They took care me and my problem like family member. I am 100% satisfied for their professional service. My result was unexpected and amazing. They dismissed my case. I am really grateful to them. I will recommend you to go there if you want to solve your problem. I wish all the best for them.
Asata Hendricks
Asata Hendricks
2021-03-02
Truly appreciate the work the guys did!. Exceptional team & I know they care about each and everyone of their clients. I am super thankful to be referred to Spodek Law Group and I am grateful Todd & Alex were able to work diligently to achieve an outcome I am pleased with. Despite COVID they stayed on top of things and kept me informed every step of the way. Very thankful.
Mike Moroff
Mike Moroff
2021-02-26
I'm very satisfied with the services rendered by Todd, Alex and Mary Lou. I whole heartedly recommend Spodek Law Group . I've worked with and have retained other attorneys in the past with Todd's firm being the cream of the crop for many reasons. A very serious legal matter was resolved after a year's hard work and effort. Todd expertly guided me through the process and was able to navigate and make the good journey bearable as well as successful. Mary Lou initially provided excellent assistance before referring my case to Todd. Alex's support was effective and timely. The customer portal (MyCase) is an invaluable communication tool that also kept track of my case. Various aspects of my case were explained and there were several options provided but I made the final decision of how the case would be handled. The legal fee was reasonable considering the effort and amount of work plus it was a flat fee regardless of the length of time required to conclude my case. Todd made himself available to me and we had many scheduled meetings to go over the progress and to discuss the next steps. I felt more confident after many discussions with him. You will not go wrong choosing Spodek Law Group for legal matters.
Josh Katz
Josh Katz
2021-02-24
Being that it was the first time that I was in need of an attorney, I was afraid and hesitant and knew I needed the absolute best. It is beyond understood why Spodek Law Group has a reputation of being the top, if not the best law firm in New York. Alex and Abigail were there every step of the way even at the most unconvenient hours. I could not have asked for more. They are extremely good at what they do and they delivered much much more than just winning my case. A big thank you to Alex and Abigail for all the guidance and counseling and their upmost loyal support that extended far more than just legally. If you need the absolute best than don't hesitate to hire Spodek Law Firm.
L.C.
L.C.
2021-02-24
I cannot tell you how thankful I am to Todd and Alex for their hard work and dedication to my case. I had never been in any trouble before but I had an unfortunate event occur and in the midst of COVID-19 at that therefore I knew I needed a team that was dedicated to my success. Today- my case has been finalized and I’m walking away with no record and can continue life as a mother and a Grad student worry free. I cannot express enough gratitude for their assistance.
AnnMarie Soliman
AnnMarie Soliman
2021-02-23
I received a summons and called Spodek law group for a free consultation. Alex took my call and was very quick and responsive. He was available anytime through multiple platforms and very reassuring when needed. They are extremely organized and thorough. They got my case dismissed! I’m very grateful. Thank you Alex and Todd!

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Testimonials

Spodek Law Group have offered me excellent support and advice thru a very difficult time. I feel I've dealt with someone who truly cares and wants the best outcome for you and yours. I'm extremely grateful for all the help Spodek Law Group has offered me. I can't recommend them enough.

~ David Bruce

Spodek Law Group was incredibly professional and has given me the best advice I could wish for. They had been helpful and empathetic to my stressful situation. Would highly recommend Spodek Law Group to anyone I meet.

~ Rowlin Garcia

Best service I ever had. Todd is absolutely class personified. You are in the safest hands with spodek. They have their clients interest in mind.

~ Francis Anim

Spodek Law Group

White Glove Service

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.



Hear From Our Clients

"Spodek Law Group have offered me excellent support and advice thru a very difficult time. I feel I've dealt with someone who truly cares and wants the best outcome for you and yours. I'm extremely grateful for all the help Spodek Law Group has offered me. I can't recommend them..."

David Bruce

"Spodek Law Group was incredibly professional and has given me the best advice I could wish for. They had been helpful and empathetic to my stressful situation. Would highly recommend Spodek Law Group to anyone I meet."

Rowlin Garcia

"Best service I ever had. Todd is absolutely class personified. You are in the safest hands with spodek. They have their clients interest in mind."

Francis Anim
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