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When you’re facing a federal issue, you need an attorney whose going to be available 24/7 to help you get the results and outcome you need. The value of working with the Spodek Law Group is that we treat each and every client like a member of our family.

Florida SEC Defense Lawyers


Florida SEC Defense Lawyers

If you are being investigated by the SEC in Florida, you may need an experienced SEC defense lawyer. SEC investigations can be stressful and have serious consequences if not handled properly. A good SEC defense lawyer can help guide you through the process and protect your rights.

There are many qualified SEC defense attorneys in Florida who regularly handle these types of cases. When choosing a lawyer, you’ll want to look for someone with specific experience in SEC investigations and enforcement actions. It’s also helpful if they have experience as a former SEC attorney, so they understand how the SEC operates.

The SEC Investigation Process

When the SEC opens an investigation, they will issue a “Formal Order of Investigation” authorizing the staff to subpoena documents and take testimony. This begins a fact-finding process that is not public. The SEC may obtain phone records, emails, trading records and bank account information. They will also take sworn testimony from company personnel and other witnesses.

This evidence gathering can go on for months or even years. Your lawyer can interact with SEC staff to try and narrow the scope or speed things up. But the SEC has broad authority to obtain information, and there is little your attorney can do to stop that process.

Once the investigation is complete, SEC staff will evaluate the evidence. They may recommend closing the investigation with no action. Or they may recommend an enforcement action seeking sanctions. Your lawyer’s job is to present facts and legal arguments to convince the SEC no enforcement action is warranted.

Common SEC Violations

Some of the most common SEC violations investigated in Florida include:

Christine Twomey
Christine Twomey
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
Brendan huisman
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
Guerline Menard
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
Keisha Parris
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
Taïko Beauty
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
Anthony Williams
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
Loveth Okpedo
Very professional, very transparent, over all a great experience
Bee L
Bee L
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
divesh patel
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.
  • Insider trading – Trading stock based on material non-public information
  • Accounting fraud – False or misleading financial statements
  • Ponzi schemes – Using new investor money to pay earlier investors
  • Offering fraud – Misleading statements about investment products
  • Registration violations – Failure to register securities or broker-dealers

The SEC has authority to investigate and bring civil enforcement actions for violations of the federal securities laws. Your lawyer can argue that the facts do not support the SEC’s allegations, or that your conduct does not actually violate the law.

SEC Remedies and Sanctions

If the SEC believes it has a strong case, it may recommend an enforcement action seeking sanctions such as:

  • Civil monetary penalties
  • Disgorgement of ill-gotten gains
  • Bars from serving as corporate officer or director
  • Trading suspensions or bars
  • Registration revocation

The SEC has discretion in seeking sanctions, so your lawyer will negotiate to reduce penalties. If negotiations fail, the case may go before an SEC administrative law judge. Your attorney can present defenses and challenge SEC evidence through this trial process.

Settling an SEC Case

Over 90% of SEC enforcement actions settle before trial. Settlements typically involve paying a fine and agreeing to sanctions, without admitting or denying the SEC’s allegations. Your lawyer may recommend settling if the terms are acceptable. Settlements avoid the cost and uncertainty of litigation.

However, some cases should go to trial if the facts and law support fighting the charges. Your lawyer will advise you on the pros and cons of settlement versus litigation. The ultimate decision is yours based on their counsel.

SEC Investigations Move Quickly

It is important to engage experienced SEC defense counsel early in an investigation. The SEC moves quickly, and will not wait for you to get up to speed. Your lawyer needs to take control of responding to subpoenas, testifying, negotiating, conducting internal investigations, and interfacing with SEC attorneys.

The investigation process is confusing, even for sophisticated professionals. You need an experienced guide from the start. This can make the difference between a mild slap on the wrist or a devastating enforcement action.

Choosing the Right SEC Defense Attorney

When selecting legal counsel for an SEC investigation, look for these important qualifications:

  • Extensive SEC defense experience
  • Good working relationships with SEC staff
  • Experience as a former SEC attorney
  • Strong negotiation and litigation skills
  • Thorough knowledge of securities regulations
  • Ability to translate complex legal issues
  • Reasonable fees and billing structure

Also prioritize responsiveness and communication skills. You need an attorney who will answer your calls and explain what is happening in terms you understand.

Beware lawyers who seem eager to go to trial rather than resolving matters efficiently. Litigation is uncertain and should generally be a last resort if settlement talks fail.

SEC Defense Lawyers Can Avoid Disastrous Outcomes

Without experienced counsel, SEC targets often make critical mistakes that worsen their situation. They may:

  • Provide inaccurate or misleading testimony
  • Fail to comply with subpoenas
  • Obstruct or destroy documents
  • Make public statements that contradict the evidence
  • Become combative with SEC attorneys

A skilled SEC defense lawyer will advise you to avoid these missteps. They will handle document production and testimony preparation to put your best foot forward. They will interact diplomatically with SEC attorneys to improve outcomes for you.

Choosing the Right Defense Strategy

SEC defense lawyers have a variety of strategies to deploy:

  • Mount factual defenses – Use documents and testimony to rebut SEC charges
  • Raise legal defenses – Argue the SEC’s allegations do not amount to actual violations
  • Negotiate settlements – Your lawyer can negotiate with SEC staff for a favorable settlement. This may involve reduced charges and penalties in exchange for cooperation and certain admissions.
  • Litigate before an SEC judge – If settlement talks fail, you can contest the charges at a trial before an SEC administrative law judge. Your lawyer can present evidence and mount legal defenses.
  • Appeal to federal courts – If you lose before the SEC judge, your lawyer can appeal the decision to a federal appeals court. The court can overturn SEC rulings on certain legal grounds.
  • Assert constitutional rights violations – Your lawyer may claim SEC violations of rights to due process, equal protection, or privileges against self-incrimination.
  • Seek declaratory or injunctive relief – Your lawyer can file lawsuits seeking to stop or limit the SEC’s investigative tactics as unconstitutional or beyond statutory authority.
  • Claim selective prosecution – Your lawyer may argue the SEC singled you out for investigation and enforcement illegally based on bias or discrimination.

An experienced SEC defense lawyer like [John Smith, Esq.] will deploy the optimal strategies based on the unique facts and circumstances of your case. The goal is to get charges dismissed or reduced, penalties minimized, and rights protected through negotiation or litigation.

Early engagement of qualified SEC defense counsel is key to developing legal arguments and evidence that counter the SEC’s allegations. Don’t go it alone in an SEC investigation that can ruin your finances and reputation.

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