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Accused of stalking Alec Baldwin. The case garnered nationwide attention, with USAToday, NYPost, and other media outlets following it closely.
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Juror who prompted calls for new Ghislaine Maxwell trial turns to lawyer who defended Anna Sorokin.
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Meet Todd Spodek
WHO WANT MORE FROM THEIR ATTORNEY
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.
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understanding sec investigations
By Spodek Law Group |
July 19, 2023
Last Updated on: 15th October 2023, 01:47 pm
Understanding SEC Investigations
The Securities and Exchange Commission (SEC) is the main federal agency responsible for enforcing securities laws and regulating the securities industry in the United States. Here are some key things to know about how the SEC conducts investigations into potential violations:
What Triggers an SEC Investigation?
The SEC often begins investigations based on:
- Tips from whistleblowers
- Referrals from other regulatory agencies
- Media reports of suspicious activity
- Self-reporting by securities firms
Common issues that lead to SEC probes include insider trading, accounting fraud, misleading disclosures, and non-compliance with reporting requirements.
SEC Investigation Process
When the SEC’s Enforcement Division decides to open an investigation, they typically take these steps:
- Issue subpoenas requesting documents and communications
- Conduct interviews with relevant individuals
- Analyze trading records and financial statements
- Work with forensic accountants and market experts
- Build their case through sworn testimony and affidavits
Defense lawyers are brought in to represent the individuals or companies under investigation. The SEC encourages cooperation through incentives like reduced penalties.
Potential Outcomes of SEC Investigations
If violations are found, the SEC can impose sanctions like:
- Fines and disgorgement of ill-gotten gains
- Bars from working in the industry
- Revoking licenses or memberships
- Company monitorships and compliance programs
The SEC may also refer matters to the Department of Justice for criminal prosecution. But many cases end in settlements, which the SEC announces publicly.
Defending against SEC investigations can be complex and expensive. Experienced securities lawyers are strongly recommended for any company or individual facing an SEC probe.
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