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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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FINRA Defense Lawyers

If you’re being investigated by FINRA, it’s important you understand how, and why, FINRA is investigating you. It’s critical you understand how FINRA conducts its investigations, and why it decides to charge you. It’s also important you hire a FINRA defense attorney who will actively work to protect your rights, and create a strategy to help with the situation you’re in. The right FINRA defense attorney can help you understand the investigation, and navigate it. This is a stressful situation. Having the wrong attorney can make it even more stressful.

Hire a FINRA Defense Lawyer 

FINRA investigations begin as an inquiry. FINRA staff issue a Rule 8210 request, which seeks documents and answers concerning a matter. The response you give is important, it locks you into a story. Our FINRA defense attorneys understand how important this step is, and actively work to prevent you from putting yourself into a situation where you are in danger, or will be charged.

Regardless of which stage you’re at, our attorneys can help you navigate it.

Finra Defense Attorneys

Our team of attorneys is knowledgable, experienced, and respected. If you need a lawyer for a financial, or regulatory, matter, you want our FINRA defense attorneys on your side. We can help with a wide array of situations:

  • Defense for FINRA / SEC examinations, and enforcement actions
  • General advice regarding FINRA and SEC compliance
  • Drafting industry documents
  • Assistance with registration, MC-400 cases with FINRA, and more
  • Counsel regarding U4/U5 and other forms
  • Arbitration matters before FINRA dispute resolution
  • Representation and counsel for brokers dealing with CFP Board Investigations

FINRA is a self regulated organization which is responsible for enforcing all FINRA rules, and securities laws. FINRA looks at broker-dealers, registers broker-dealers, and their representatives. In addition, FINRA has its own arbitration dispute resolution system. FINRA operates under the SEC.

FINRA disciplinary investigations are VERY serious, and can end your career. If you’re involved in a FINRA investigation, it’s important you speak to a FINRA defense and investigation attorney. FINRA’s enforcement division looks closely for violations of FINRA rules, and securities law. These investigations can be triggered by many things, such as:

  • Complaints from clients
  • Periodic examinations of brokers and dealers
  • FINRA monitoring trading on the exchanges
  • Disclosures made on U4 and U5 forms
  • Referrals from state, and federal, agencies

If you get a FINRA rule 8210 letter of inquiry, it’s important you hire an attorney who can advise you. Under FINRA rule 8210, FINRA can compel testimony or production of documents from individuals and firms through a letter of inquiry.

If you fail to cooperate with a FINRA investigation, it can put you at risk of being removed from the securities industry. FINRA has super broad powers. It can require you to provide documents, answer questions, or more. If you get a Rule 8210 letter, it’s important you speak to an attorney who can give you advice. If you receive a letter of inquiry from FINRA, don’t make any statements or product documents before consulting with a FINRA investigation defense attorney.

Many brokers often get a Rule 8210 letter. The right response to this letter can help you resolve a FINRA investigation. If you say too much, or provide too much information, it could cascade your situation. One of the mistakes people make is ignoring a Rule 8210 letter. Refusing to cooperate, refusing to provide testimony – even if you invoke your 5th amendment rights, is a failure to cooperate and can result in your expulsion from the securities industry.

FINRA can impose several penalties

If you fail to respond, or fail to cooperate fully, FINRA can impose fines and kick you out of the securities industry. Bottom line, it pays to hire an attorney who can handle this for you. If FINRA investigates and determines you have violated the rules, FINRA can impose fines and penalties. Such fines and penalties could be career-ending.

WHAT PENALTIES CAN FINRA IMPOSE?

If you fail to respond to a FINRA investigation, or 8210 letter, FINRA can impose fines and remove you from the industry. They can suspend, or revoke, your registration. If you’re being investigated by FINRA, you shouldn’t rely on your firm’s attorney to represent you. The attorney works for the firm, and will likely put their interests above yours. Any mistake in the investigation can destroy your career. You want an attorney who represents you, and is looking out for you. Your employer might tell you that you’re not the focus of the investigation – but could be lying.

WHAT DOES FINRA DO?

FINRA is a regulatory organization which oversees the brokerage industry. FINRA conducts investigations and looks into violations of FINRA rules. FINRA also looks, and examines, broker-dealers, and their representatives. FINRA also does arbitration dispute resolution, and handles disputes between brokerages and customers, financial advisors, and other involved parties. FINRA operates under the SEC.

FINRA also handles disciplinary investigations which are serious issues and can end your career. If you’re a financial advisor, you should speak to a FINRA defense attorney.

FINRA’s enforcement division investigates violations of FINRA rules. These investigations are usually initiated by a number of reasons, such as:

  • customer complains
  • customer files arbitration
  • FINRA does an examination of brokers
  • FINRA monitors trades
  • U4 disclosures and U5 forms
  • referrals from federal and state agencies
WHAT’S A FINRA 8210 LETTER OF INQUIRY?

Under FINRA rule 8210, FINRA is authorized to compel testimony and can compel production of documents from individuals and firms. FINRA does this by issuing a letter of inquiry. FINRA 8210 letters can require you to produce documents and information for anything tied to a customer. FINRA can force you to document your firms activities, outside business contacts, and more. If you get a 8210 letter of inquiry from FINRA, it’s important you hire a FINRA attorney immediately.

Because FINRA has the power to compel any broker dealer to produce documents and information, it’s important that any on the record interview is done with the help of a finra defense attorney.

It’s important you speak to an attorney to understand how your possible answers can impact your future. 8210 letters should be taken seriously. Depending on the facts, it might be in your best interest to invoke the 5th amendment before you accidentally say something controversial that harms you. Depending on what you say, there could be possible charges brought by federal or state agencies. When you refuse to cooperate with a FINRA investigation, it can be catastrophic.

You shouldn’t automatically refuse to cooperate with FINRA. FINRA can bring disciplinary actions and have you sanctioned, or kicked out of the industry, if you fail to respond to an 8210 letter.

If you receive an 8210 letter, it means an investigation by FINRA is underway. It also means, now is the time to hire a FINRA defense lawyer to help you.

How should I respond to an 8210 letter?

The right response can solve a FINRA investigation. If you say too much, or provide incriminating documents, you might expand the scope of a FINRA investigation. You could make yourself a target of an investigation, instead of simply being a witness/tangential party. Even if you have done nothing wrong, you could get involved if you don’t respond, or respond incorrectly to an 8210 letter.

It’s imperative you hire a FINRA defense attorney to represent you as soon as you learn of any possible FINRA investigation.

If you’re being investigated by FINRA, it’s important you understand how, and why, FINRA is investigating you. It’s critical you understand how FINRA conducts its investigations, and why it decides to charge you. It’s also important you hire a FINRA defense attorney who will actively work to protect your rights, and create a strategy to help with the situation you’re in. The right FINRA defense attorney can help you understand the investigation, and navigate it. This is a stressful situation. Having the wrong attorney can make it even more stressful.

Hire a FINRA Defense Lawyer 

FINRA investigations begin as an inquiry. FINRA staff issue a Rule 8210 request, which seeks documents and answers concerning a matter. The response you give is important, it locks you into a story. Our FINRA defense attorneys understand how important this step is, and actively work to prevent you from putting yourself into a situation where you are in danger, or will be charged.

Regardless of which stage you’re at, our attorneys can help you navigate it.

Microcap Fraud Defense

The Spodek Law Group team of attorneys can help with Microcrap fraud defense. Our defense attorneys help clients, who have complex corporate securities issues, including microcap fraud. We can handle all stages of the Microfraud fraud investigation and litigation process. We help small, and large, corporations, and provide defense strategies to help combat unfair accusations of microcap fraud.

If you’ve been charged, or if you’re being investigated, for microcap fraud, now is the time to take action. The SEC has increased enforcement efforts and is coordinating with other agencies like the FBI. Microcap companies are at immense risk. Successful investigations can result in jail time and other penalties. You need a Microcap fraud defense lawyer who can help you. You shouldn’t wait to get in touch with an experienced defense lawyer.

Any charge against you has the power to shut down your hard work, and the company. It’s critical you do everything possible to defend your rights.

At Spodek Law Group, we are qualified in handling securities fraud cases, and microcap fraud. We are a national law firm that has defense attorneys who can help you.

What’s microcap fraud

This is a type of securities fraud which involves microcap companies. The fraud occurs on the OTC market for securities, instead of a national securities exchange. The microcap stock, is traded on two systems: Pink Sheets and OTC Bulletin Board. The microcap stock is usually a very low priced stock. It can be difficult to find microcap fraud because microcap companies don’t report financial reports with the SEC. They are subject to less regulations. Companies that are targeted with microcap fraud usually have market cap of $250 million or less.

Examples of Microcap fraud

Pump and dump: Most common example of microcap fraud. It happens when investors are told by telemarketers to buy stock, and sell before the price goes down. Once its hyped, insiders sell the stock and make a profit.

Off shore scam: Company sells their stock outside of the USA to foreign investors. They don’t need to register their stock under the Regulation S. This off-shore microcap scheme happens when a microcap company sells unregistered stock at a discount, to fraudsters – who are acting as if they are foreign investors. These investors then sell the stock to USA investors at inflated prices. They share the profits with the insiders.

It’s not uncommon for fraud involving microcap stock to involve email spam, promoters, press releases, and other forms of internet fraud.

How Microcap fraud investigations happen

It’s easy for an investor to say they were harmed by fraud in a microcap company. There are easy to follow steps on the SEC’s website that tells an investor how to contact the SEC and report a potential fraud. The SEC also lists red flags that tells investors of certain fraudulent activity.

Microcap fraud charges are usually associated with violations of securities laws such as:

  • Section 10(b) of the Securities Act of 1934.
  • Section 17(a) of the Securities Act of 1933
  • Aiding/Abetting with fraudulent activity
  • Acting as unregistered broker-dealer and failing to register
  • Failing to comply with registration provisions of the securities act
  • Conspiracy charges

How should you respond if you’re charged/arrested

A charge of microcap fraud can result in criminal penalties and jail time. The SEC might also seek disgorgement, which means the return of all ill-gotten gains, plus interest. An investigation can result in huge expenses, and could present challenges for your company. The SEC is very serious about investigating microcap fraud. Microcap companies are easy targets for federal agents.

If you’re charged, and need help defending your company, call our offices today.

FINRA INVESTIGATIONS LAWYERS

We have a national reputation for clients who need a FINRA defense attorney.

ARE YOU FACING A FINRA INVESTIGATION, AN ENFORCEMENT OR DISCIPLINARY ACTION? WE CAN HELP. WE DEFEND BROKER-DEALERS, AND PROFESSIONALS, FACING FINRA INVESTIGATIONS.

FINRA Rule 8210 Demand for Documents, Information, and Testimony

By the time you get a request from FINRA, under rule 8210, for info, docs, or an interview, the investigation process has already gone forward. At this time, it’s best to work with an attorney who can prepare your response, and help you create a defense. You MUST move quickly, get ahead of the accusations.

If you’re being investigated by FINRA, you have the right to a FINRA investigations lawyer. You have the right to counsel, and you should immediately hire an attorney even if you are innocent of any wrongdoing. FINRA can make mistakes, and that can have huge, and devastating, consequences for broker-dealers, or for people with a career in the financial world. Whatever your situation is, your goal must be to prevent a full blown escalation of the enforcement action, and to prevent disclosure to the Central Registration Depository. Our team of FINRA investigation lawyers move fast to have the case dismissed, or to negotiate the scope of the investigation and minimize the consequences.

If you’re being investigated by FINRA, it’s important you understand how, and why, FINRA is investigating you. It’s critical you understand how FINRA conducts its investigations, and why it decides to charge you. It’s also important you hire a FINRA defense attorney who will actively work to protect your rights, and create a strategy to help with the situation you’re in. The right FINRA defense attorney can help you understand the investigation, and navigate it. This is a stressful situation. Having the wrong attorney can make it even more stressful.

Hire a FINRA Defense Lawyer 

FINRA investigations begin as an inquiry. FINRA staff issue a Rule 8210 request, which seeks documents and answers concerning a matter. The response you give is important, it locks you into a story. Our FINRA defense attorneys understand how important this step is, and actively work to prevent you from putting yourself into a situation where you are in danger, or will be charged.

Regardless of which stage you’re at, our attorneys can help you navigate it.

Finra Defense Attorneys

Our team of attorneys is knowledgable, experienced, and respected. If you need a lawyer for a financial, or regulatory, matter, you want our FINRA defense attorneys on your side. We can help with a wide array of situations:

  • Defense for FINRA / SEC examinations, and enforcement actions
  • General advice regarding FINRA and SEC compliance
  • Drafting industry documents
  • Assistance with registration, MC-400 cases with FINRA, and more
  • Counsel regarding U4/U5 and other forms
  • Arbitration matters before FINRA dispute resolution
  • Representation and counsel for brokers dealing with CFP Board Investigations

FINRA is a self regulated organization which is responsible for enforcing all FINRA rules, and securities laws. FINRA looks at broker-dealers, registers broker-dealers, and their representatives. In addition, FINRA has its own arbitration dispute resolution system. FINRA operates under the SEC.

FINRA disciplinary investigations are VERY serious, and can end your career. If you’re involved in a FINRA investigation, it’s important you speak to a FINRA defense and investigation attorney. FINRA’s enforcement division looks closely for violations of FINRA rules, and securities law. These investigations can be triggered by many things, such as:

  • Complaints from clients
  • Periodic examinations of brokers and dealers
  • FINRA monitoring trading on the exchanges
  • Disclosures made on U4 and U5 forms
  • Referrals from state, and federal, agencies

If you get a FINRA rule 8210 letter of inquiry, it’s important you hire an attorney who can advise you. Under FINRA rule 8210, FINRA can compel testimony or production of documents from individuals and firms through a letter of inquiry.

If you fail to cooperate with a FINRA investigation, it can put you at risk of being removed from the securities industry. FINRA has super broad powers. It can require you to provide documents, answer questions, or more. If you get a Rule 8210 letter, it’s important you speak to an attorney who can give you advice. If you receive a letter of inquiry from FINRA, don’t make any statements or product documents before consulting with a FINRA investigation defense attorney.

Many brokers often get a Rule 8210 letter. The right response to this letter can help you resolve a FINRA investigation. If you say too much, or provide too much information, it could cascade your situation. One of the mistakes people make is ignoring a Rule 8210 letter. Refusing to cooperate, refusing to provide testimony – even if you invoke your 5th amendment rights, is a failure to cooperate and can result in your expulsion from the securities industry.

FINRA can impose several penalties

If you fail to respond, or fail to cooperate fully, FINRA can impose fines and kick you out of the securities industry. Bottom line, it pays to hire an attorney who can handle this for you. If FINRA investigates and determines you have violated the rules, FINRA can impose fines and penalties. Such fines and penalties could be career-ending.

If you fail to respond to a FINRA investigation, or 8210 letter, FINRA can impose fines and remove you from the industry. They can suspend, or revoke, your registration. If you’re being investigated by FINRA, you shouldn’t rely on your firm’s attorney to represent you. The attorney works for the firm, and will likely put their interests above yours. Any mistake in the investigation can destroy your career. You want an attorney who represents you, and is looking out for you. Your employer might tell you that you’re not the focus of the investigation – but could be lying.

FINRA is a regulatory organization which oversees the brokerage industry. FINRA conducts investigations and looks into violations of FINRA rules. FINRA also looks, and examines, broker-dealers, and their representatives. FINRA also does arbitration dispute resolution, and handles disputes between brokerages and customers, financial advisors, and other involved parties. FINRA operates under the SEC.

FINRA also handles disciplinary investigations which are serious issues and can end your career. If you’re a financial advisor, you should speak to a FINRA defense attorney.

FINRA’s enforcement division investigates violations of FINRA rules. These investigations are usually initiated by a number of reasons, such as:

  • customer complains
  • customer files arbitration
  • FINRA does an examination of brokers
  • FINRA monitors trades
  • U4 disclosures and U5 forms
  • referrals from federal and state agencies

Under FINRA rule 8210, FINRA is authorized to compel testimony and can compel production of documents from individuals and firms. FINRA does this by issuing a letter of inquiry. FINRA 8210 letters can require you to produce documents and information for anything tied to a customer. FINRA can force you to document your firms activities, outside business contacts, and more. If you get a 8210 letter of inquiry from FINRA, it’s important you hire a FINRA attorney immediately.

Because FINRA has the power to compel any broker dealer to produce documents and information, it’s important that any on the record interview is done with the help of a finra defense attorney.

It’s important you speak to an attorney to understand how your possible answers can impact your future. 8210 letters should be taken seriously. Depending on the facts, it might be in your best interest to invoke the 5th amendment before you accidentally say something controversial that harms you. Depending on what you say, there could be possible charges brought by federal or state agencies. When you refuse to cooperate with a FINRA investigation, it can be catastrophic.

You shouldn’t automatically refuse to cooperate with FINRA. FINRA can bring disciplinary actions and have you sanctioned, or kicked out of the industry, if you fail to respond to an 8210 letter.

If you receive an 8210 letter, it means an investigation by FINRA is underway. It also means, now is the time to hire a FINRA defense lawyer to help you.

How should I respond to an 8210 letter?

The right response can solve a FINRA investigation. If you say too much, or provide incriminating documents, you might expand the scope of a FINRA investigation. You could make yourself a target of an investigation, instead of simply being a witness/tangential party. Even if you have done nothing wrong, you could get involved if you don’t respond, or respond incorrectly to an 8210 letter.

It’s imperative you hire a FINRA defense attorney to represent you as soon as you learn of any possible FINRA investigation.

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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...

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