The Spodek Law Group has experience handling stock broker disciplinary issues and can provide quality representation. If you are accused of violating federal and state laws, as well as exchange rules/regulations, you might be facing disciplinary hearings – among other things. The good news is, we are here to help.
Broker Sanctions / U-5 Report Expunged
You could face any number of sanctions as a result of fraud. You could face expulsion, job loss, fines, and even criminal charges. In addition, you could face a permanent mark on your U5 report, which could prevent future employment opportunities.
We Can Help With Most Organizations
Our broker disciplinary defense lawyers can help with most regulatory organizations such as:
We can defend floor brokers, and registered reps, against all forms of violations and inconsistent conduct.
Stock Broker Disciplinary Hearings
Our stock broker defense lawyers have years of experience handling disciplinary hearings. Whether it be as a result of fraud, misconduct, or a simple misunderstanding – we can help defend you against disciplinary hearings.
Todd is a miracle worker who will work tirelessly for you and your family. He is one of the few attorneys i've met - who I earnestly trust to protect me, and who I am happy to refer to our friends and fellow family members. The Spodek Law Group is someone you want on your side, because they will treat you just like family. Todd and his team are available 24/7, and they always answered our calls. Even when we were being irrational, and crazy - they were calm and super helpful. Just call Todd. He gives you a free consultation and is very understanding.- Donna & Robert
85 Broad Street, 30th Floor
New York, NY 10005
35-37 36th St,
Astoria, NY 11106
195 Montague St.
Brooklyn, NY 11201