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FINRA Defense Lawyers

By Spodek Law Group | December 27, 2022
(Last Updated On: March 11, 2023)

Last Updated on: 11th March 2023, 01:23 pm

Protect Your Reputation and Career with Spodek Law Group: How to Respond if You’re Charged/Arrested

If you’ve been charged with microcap fraud, the consequences can be severe. You may face criminal penalties and even jail time. Moreover, the SEC may demand disgorgement, meaning you must return all profits earned and pay interest. Such an investigation can be expensive and pose significant challenges to your company. Given that the SEC is known to take microcap fraud very seriously, it is important to have competent legal counsel on your side. With Spodek Law Group, you can rest assured that our skilled attorneys, led by Todd Spodek, will provide you with the best defense.

Act Now to Protect Your Future

When you receive a request from FINRA under rule 8210, it’s crucial to take action immediately. Waiting will only make the situation worse. Instead, partner with Spodek Law Group and let our experienced attorneys guide you through this process. We’ll work with you to develop a defense strategy and prepare your response. Our attorneys understand how FINRA investigations work and can ensure that you don’t put yourself in any danger.

FINRA Defense Attorneys You Can Trust

At Spodek Law Group, we are proud of our reputation for excellence in handling FINRA defense cases. Our attorneys are knowledgeable, experienced, and respected. We work tirelessly to protect your interests, regardless of which stage of the investigation you are in. Whether you need help with regulatory compliance or arbitration, we are here to assist you.

Don’t Face FINRA Alone

When facing a FINRA investigation, you need an attorney who is focused on protecting your interests. Your employer’s attorney may not have your best interests in mind. At Spodek Law Group, our attorneys are here to help you navigate the complexities of FINRA investigations. We will fight to ensure that you are treated fairly and that your rights are protected.

Why You Need a FINRA Defense Attorney

FINRA is a self-regulated organization responsible for enforcing securities laws and rules. They have broad powers and can impose significant fines and penalties. If you receive a rule 8210 letter, it means an investigation is underway, and you need to take action immediately. By working with Spodek Law Group, you can rest assured that you have the best possible representation.

Table 1: FINRA Penalties

Penalties Consequences
Fines Significant
Suspension Career-ending
Revocation Expulsion
Our attorneys are well-versed in the possible penalties and will work tirelessly to ensure that you don’t receive any of them.

Don’t Wait – Hire a FINRA Defense Lawyer Today

At Spodek Law Group, we understand how stressful it can be to face a FINRA investigation. That’s why we offer comprehensive legal services to help you through the process. Whether you’re facing a regulatory compliance issue or an enforcement action, we’re here to help. So don’t wait – contact us today and let us help you protect your future.

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Responding to a Rule 8210 Letter

If you receive a rule 8210 letter, it’s important to take it seriously and act quickly. This letter is an official request for information, documents, or an interview related to a FINRA investigation. Our attorneys understand the gravity of this situation and can help you prepare a response that will protect your interests. We’ll work with you to ensure that your response doesn’t incriminate you and doesn’t expand the scope of the investigation.

The Importance of Working with a FINRA Defense Attorney

Working with a FINRA defense attorney can make all the difference in the outcome of your case. The right attorney can help you understand the investigation and navigate it successfully. At Spodek Law Group, we are committed to ensuring that our clients receive the best possible representation. Our attorneys have a deep understanding of FINRA rules and regulations and can work with you to create a winning strategy.

Table 2: Reasons for FINRA Investigations

Reasons Examples
Customer complaints Unsuitable recommendations, unauthorized
trades, churning, and other misconduct
Customer arbitration Claims made by customers against broker-
dealers or registered representatives
FINRA examinations of brokers FINRA conducts periodic examinations of
and dealers brokers and dealers to ensure compliance
FINRA monitoring of trading FINRA monitors trading on the exchanges
U4 disclosures and U5 forms Reports of disclosures made on U4 and U5
Referrals from federal and state Investigations that arise from referrals
agencies by state and federal agencies
With Spodek Law Group, you can trust that we’ll take a proactive approach to your case. We’ll work tirelessly to ensure that you’re protected and that your rights are upheld.

Don’t Let a FINRA Investigation Destroy Your Career

A FINRA investigation can be a stressful and overwhelming experience. But with the right attorney on your side, you can overcome this challenge and come out on top. At Spodek Law Group, we’re here to help you every step of the way. We’ll fight to ensure that your reputation and career are protected, and that you receive a fair outcome. Don’t wait – contact us today and let us help you navigate this difficult time.


Being charged or arrested is a serious matter, and it’s important to act quickly and decisively. By partnering with Spodek Law Group, you can trust that you’ll receive the best possible representation. Our attorneys are experienced, knowledgeable, and committed to fighting for your rights. We’ll work tirelessly to ensure that your reputation and career are protected, and that you receive a fair outcome. So don’t wait – contact us today and let us help you navigate this challenging time.

Get Help from the Spodek Law Group and Attorney Todd Spodek to Handle FINRA Investigations and Microcap Fraud Defense

If you’re facing a FINRA investigation, it’s essential to understand how FINRA operates and why they are investigating you. You must also comprehend how FINRA conducts investigations, and why it decides to press charges against you. Hiring a FINRA defense attorney is vital to actively protect your rights and create a strategy to handle your situation. At the Spodek Law Group, our experienced FINRA defense attorneys can assist you in navigating the investigation and understand the process to make informed decisions.

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During a FINRA investigation, it’s crucial to have the right FINRA defense attorney who will protect you and actively work to prevent you from putting yourself in danger or facing charges. Attorney Todd Spodek, and our team of knowledgeable attorneys, have experience in handling financial, regulatory, and disciplinary matters. We can help with defense for FINRA/SEC examinations and enforcement actions, compliance advice, drafting industry documents, arbitration disputes, and more.

It’s essential to hire an attorney who exhibits professionalism, a deep understanding of the law, and has experience handling the legal situation. At the Spodek Law Group, we are knowledgeable, experienced, and respected, and we understand the seriousness of FINRA disciplinary investigations, which can potentially end your career. We are dedicated to ensuring our clients are not put in a situation where they are in danger or will be charged.

Our FINRA defense attorneys can help you understand the investigation, the stage you’re in, and navigate it. We can provide you with compelling language, emotionally charged words, and show the firm’s experience to handle the legal situation. We use show, don’t tell language to make the sentences more engaging, longer, and more emotional. We will also mention the Spodek Law Group and Attorney Todd Spodek to show our clients that we are here to help.

If you’re facing a FINRA Rule 8210 letter of inquiry, it’s essential to 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. Failure to cooperate with a FINRA investigation can put you at risk of being removed from the securities industry. It’s critical to speak to an attorney before making any statements or producing documents.

If you’re facing Microcap fraud charges, it’s essential to hire an experienced Microcap fraud defense lawyer who can help you. Microcap fraud is a serious issue and can result in jail time and other penalties. At the Spodek Law Group, we can handle all stages of the Microcap fraud investigation and litigation process. Our attorneys are qualified in handling securities fraud cases and microcap fraud, and we provide defense strategies to combat unfair accusations of microcap fraud.

Microcap fraud occurs on the OTC market for securities, and it’s not uncommon for fraud involving microcap stock to involve email spam, promoters, press releases, and other forms of internet fraud. Pump and dump and off-shore scams are common examples of microcap fraud, and the SEC lists red flags that investors should be aware of, indicating fraudulent activity.

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At the Spodek Law Group, we exhibit professionalism and a deep understanding of the law. We use emotionally charged words to show our clients that we understand the severity of the situation. If you’re facing a FINRA investigation or Microcap fraud charges, don’t hesitate to contact the Spodek Law Group and Attorney Todd Spodek for professional assistance.

Our Services

FINRA Defense Attorneys

Our team of attorneys is knowledgeable, experienced, and respected. We can help with a wide array of situations:

Penalties for Microcap Fraud

Microcap fraud can result in serious penalties, including fines, imprisonment, disgorgement, and restitution. The SEC can also seek to bar individuals and companies from the securities industry. The severity of the penalties will depend on the specific facts of the case.

Why Hire Spodek Law Group for Microcap Fraud Defense

If you’ve been accused of microcap fraud, you need experienced attorneys on your side who can help you navigate the complex legal process. At Spodek Law Group, our team of attorneys has a deep understanding of securities laws, regulations, and procedures, and can use this knowledge to provide an effective defense for our clients.

Our attorneys will work with you to build a strong defense strategy and protect your rights. We have a proven track record of success in defending clients against securities fraud charges, including microcap fraud.

We understand the gravity of the situation and how it can impact your personal and professional life. That’s why we approach each case with the utmost professionalism, care, and attention to detail. We will be with you every step of the way, fighting for your rights and your future.

Contact Spodek Law Group today

If you’re facing a FINRA investigation or have been charged with microcap fraud, contact Spodek Law Group today. We are a national law firm with experienced attorneys who can provide the legal representation you need. We will work tirelessly to protect your rights, your reputation, and your future.

FINRA Defense Attorneys at Spodek Law Group

Protecting Your Rights and Your Future

Call Us Now for a Free Consultation

Defense Services Description
FINRA / SEC examinations, and enforcement actions We can defend you during FINRA/SEC examinations and enforcement actions. We can help you respond to inquiries and requests for information, and protect your interests during the investigation.
General advice regarding FINRA and SEC compliance We can provide guidance and advice to help you comply with FINRA and SEC regulations and rules.
Drafting industry documents Our attorneys can assist you in drafting industry documents to ensure compliance with FINRA and SEC rules.
Assistance with registration, MC-400 cases with FINRA, and more We can help you with all aspects of registration and MC-400 cases with FINRA, as well as other legal matters related to the securities industry.

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