Fort Worth SEC Defense Lawyers

Fort Worth SEC Defense Lawyers – Your Trusted Legal Team

Dealing with an SEC investigation can be incredibly stressful. The SEC has significant resources and powers – so you need an experienced legal team on your side. The Fort Worth SEC defense lawyers at our firm have the skills and knowledge to protect your rights during this difficult process. We know how to navigate complex securities cases and achieve the best possible outcome for our clients. This article provides an overview of our services, key legal issues, and how we can help if you’re facing an SEC inquiry.

Who We Are

Our firm is comprised of seasoned trial attorneys with decades of experience specifically handling federal securities cases. We’re based right here in Fort Worth, so we have in-depth knowledge of how the local SEC office operates. Our lawyers have represented individuals and companies in a wide range of SEC matters, including:

• Insider trading investigations
• Accounting fraud inquiries
• Disclosure violations
• Broker-dealer compliance issues
• Whistleblower cases

We’re known for our aggressive advocacy and stellar track record. In many cases, we’ve been able to resolve SEC probes without any charges being filed. For cases that do go to trial, we have the litigation skills to mount a vigorous defense. Put simply – we know how to handle these complex cases in a strategic, effective way.

Responding to an SEC Investigation

If you receive a subpoena or inquiry letter from the SEC, it’s essential to engage experienced counsel immediately. Here are some key steps we recommend:

1. Don’t talk to SEC investigators without your lawyer present. Anything you say can be used against you.
2. Assert your Fifth Amendment right against self-incrimination. Be aware of the limits of this right.
3. Negotiate the scope of document requests. Try to narrow what you have to produce.
4. Consider asserting attorney-client privilege and work product protections where appropriate.
5. Get out in front of the inquiry. Present your side of the story early on.

With skilled counsel, you may be able to resolve the investigation before it escalates. If the SEC does file charges, the evidence gathered during the inquiry will be critical.

Overview of Key Securities Laws

Here are some of the main federal securities laws enforced by the SEC that come up in Fort Worth investigations and litigation:

Christine Twomey

2024-03-21

Just had my Divorce case settled 2 months ago after having a horrible experience with another firm. I couldn’t be happier with Claire Banks and Elizabeth Garvey with their outstanding professionalism in doing so with Spodek Law Group. Any time I needed questions answered they were always prompt in doing so with all my uncertainties after 30 yrs of marriage.I feel from the bottom of my heart you will NOT be disappointed with either one. Thanks a million.

Brendan huisman

2024-03-18

Alex Zhik contacted me almost immediately when I reached out to Spodek for a consultation and was able to effectively communicate the path forward/consequences of my legal issue. I immediately agreed to hire Alex for his services and did not regret my choice. He was able to cover my case in court (with 1 day notice) and not only was he able to push my case down, he carefully negotiated a dismissal of the charge altogether. I highly recommend Spodek, and more specifically, Alex Zhik for all of your legal issues. Thanks guys!

Guerline Menard

2024-03-18

Thanks again Spodek law firm, particularly Esq Claire Banks who stood right there with us up to the finish line. Attached photos taken right outside of the court building and the smile on our faces represented victory, a breath of fresh air and satisfaction. We are very happy that this is over and we can move on with our lives. Thanks Spodek law 🙏🏼🙏🏼🙏🏼🙏🏼🙌🏼❤️

Keisha Parris

2024-03-15

Believe every single review here about Alex Z!! From our initial consultation, it was evident that Alex possessed a profound understanding of criminal law and a fierce dedication to his clients rights. Throughout the entirety of my case, Alex exhibited unparalleled professionalism and unwavering commitment. What sets Alex apart is not only his legal expertise but also his genuine compassion for his clients. He took the time to thoroughly explain my case, alleviating any concerns I had along the way. His exact words were “I’m not worried about it”. His unwavering support and guidance were invaluable throughout the entire process. I am immensely grateful for Alex's exceptional legal representation and wholeheartedly recommend his services to anyone in need of a skilled criminal defense attorney. Alex Z is not just a lawyer; he is a beacon of hope for those navigating the complexities of the legal system. If you find yourself in need of a dedicated and competent legal advocate, look no further than Alex Z.

Taïko Beauty

2024-03-15

I don’t know where to start, I can write a novel about this firm, but one thing I will say is that having my best interest was their main priority since the beginning of my case which was back in Winter 2019. Miss Claire Banks, one of the best Attorneys in the firm represented me very well and was very professional, respectful, and truthful. Not once did she leave me in the dark, in fact she presented all options and routes that could possibly be considered for my case and she reinsured me that no matter what I decided to do, her and the team will have my back and that’s exactly what happened. Not only will I be liberated from this case, also, I will enjoy my freedom and continue to be a mother to my first born son and will have no restrictions with accomplishing my goals in life. Now that’s what I call victory!! I thank the Lord, My mother, Claire, and the Spodek team for standing by me and fighting with me. Words can’t describe how grateful I am to have the opportunity to work with this team. I’m very satisfied, very pleased with their performance, their hard work, and their diligence. Thank you team!

Anthony Williams

2024-03-12

Hey, how you guys doing? Good afternoon my name is Anthony Williams I just want to give a great shout out to the team of. Spodek law group. It is such a honor to use them and to use their assistance through this whole case from start to finish. They did everything that they said they was gonna do and if it ever comes down to it, if I ever have to use them again, hands-down they will be the first law office at the top of my list, thank you guys so much. It was a pleasure having you guys by my side so if you guys ever need them, do not hesitate to pick up the phone and give them a call.

Loveth Okpedo

2024-03-12

Very professional, very transparent, over all a great experience

Bee L

2024-02-28

Amazing experience with Spodek! Very professional lawyers who take your case seriously. They treated me with respect, were always available, and answered any and all questions. They were able to help me very successfully and removed a huge stress. Highly recommend.

divesh patel

2024-02-24

I can't recommend Alex Zhik and Spodek Law Firm highly enough for their exceptional legal representation and personal mentorship. From the moment I engaged their services in October 2022, Alex took the time to understand my case thoroughly and provided guidance every step of the way. Alex's dedication to my case went above and beyond my expectations. His expertise, attention to detail, and commitment to achieving the best possible outcome were evident throughout the entire process. He took the time to mentor me, ensuring I understood the legal complexities involved to make informed decisions. Alex is the kind of guy you would want to have a beer with and has made a meaningful impact on me. I also want to acknowledge Todd Spodek, the leader of the firm, who played a crucial role in my case. His leadership and support bolstered the efforts of Alex, and his involvement highlighted the firm's commitment to excellence. Thanks to Alex Zhik and Todd Spodek, I achieved the outcome I desired, and I am incredibly grateful for their professionalism, expertise, and genuine care. If you're in need of legal representation, look no further than this outstanding team.

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Google rating score: 4.9 of 5, based on 736 reviews

Securities Act of 1933

This law regulates the initial issuance of securities. It requires full and fair disclosure of financial information in registration statements and prospectuses. Violations may involve false or misleading statements. Learn more.

Securities Exchange Act of 1934

This law oversees the secondary trading of securities and regulates markets/exchanges. It requires periodic reporting by publicly traded companies and prohibits market manipulation. Insider trading cases often fall under this act. Learn more.

Investment Advisers Act of 1940

This law regulates investment advisers. It requires they register with the SEC and conform to regulations regarding disclosure, advertising, fees, conflicts of interest, recordkeeping, and more. Learn more.

Investment Company Act of 1940

This law regulates the organization and activities of investment companies, like mutual funds. It requires registration and regulates structure, operations, transactions, capital structures, and more. Learn more.

Sarbanes-Oxley Act of 2002

This law imposed major reforms on public companies and accounting firms after corporate scandals like Enron. It increased financial disclosures, auditor independence, and penalties for fraud. Learn more.

Common SEC Violations We Defend

Some of the specific issues we routinely handle in SEC cases include:

• Insider Trading – Cases involving trading on material nonpublic information in breach of a duty.
• Accounting Fraud – Cases involving overstating assets, revenues, earnings per share, etc.
• Misrepresentations – False or misleading statements in SEC filings, press releases, etc.
• Registration Violations – Failures to register securities or file required disclosure documents.
• Broker-Dealer Violations – Cases involving inadequate supervision, books and records violations, etc.
• Whistleblower Retaliation – Punishing employees for reporting possible violations.

These are complex areas of securities law. Having an experienced SEC defense lawyer is crucial for responding to allegations and building an effective defense.

SEC Enforcement Process & Possible Sanctions

If the SEC believes violations occurred after an investigation, here is the typical enforcement process:

1. Wells Notice – Notification that SEC staff intends to recommend charges.
2. Settlement Negotiations – Discussions to potentially settle the case.
3. SEC Action – A civil complaint filed in federal court or administratively.
4. Litigation – The trial process if no settlement is reached.

Some potential penalties imposed in SEC enforcement actions include:

• Injunctions
• Disgorgement of ill-gotten gains
• Civil monetary penalties
• Bars from serving as corporate officers or directors
• Revocation of broker-dealer registration
• Bans from the securities industry

The stakes are high, so skilled legal counsel is a must when facing SEC charges.

Why Choose Our Fort Worth SEC Defense Firm?

If you’re dealing with an SEC investigation, we have the experience, skills, and track record to protect your interests. Here’s why clients choose our firm:

• Decades of experience specifically handling SEC cases
• In-depth knowledge of SEC’s local Fort Worth office and personnel
• Proven results getting cases dismissed pre-litigation
• Aggressive litigation skills if charges are filed
• Creative defense strategies drawing on our deep expertise
• We level the playing field against the SEC’s vast resources
• We know how to negotiate favorable settlements when in our client’s best interest

Put our seasoned SEC defense team on your side. Contact our Fort Worth office today to schedule a free case evaluation. We’re here to help.