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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.

New York SEC Defense Lawyers

Dealing with an SEC investigation can be super stressful and intimidating. The SEC has a ton of resources and can hit you hard with subpoenas, document requests, and more. It’s easy to feel totally overwhelmed when facing off against such a powerful government agency.But take a deep breath – it’s not time to panic yet! Hiring experienced SEC defense lawyers in New York can help level the playing field. These attorneys know all the SEC’s tricks and tactics inside out. They can advise you on your rights and help build the strongest possible defense.

The SEC’s Formidable Powers

The SEC has a lot of muscle it can flex. They can:

  • Issue subpoenas demanding documents and testimony
  • Conduct surprise audits and inspections
  • Impose huge fines and penalties
  • Get injunctions and cease and desist orders
  • Refer cases to the DOJ for potential criminal prosecution

Staring down the SEC’s arsenal solo can be super daunting. But seasoned securities defense lawyers know how to counter the SEC’s attacks. They can respond to subpoenas, negotiate with the SEC attorneys, and develop solid defense strategies.

Benefits of Retaining SEC Defense Counsel

Having experienced SEC defense counsel in your corner provides many benefits, including:

  • A legal team focused 100% on your defense
  • Deep knowledge of SEC rules, regulations and procedures
  • Handling SEC investigations and enforcement actions
  • Understanding the SEC’s tactics and methods
  • Ability to quickly respond to SEC demands and subpoenas
  • Negotiation skills to potentially settle favorably
  • Litigation capabilities if needed to battle the SEC in court

SEC defense lawyers have specific experience and skills that regular corporate lawyers often lack. Their expertise can be invaluable during an SEC investigation.

How Defense Lawyers Can Help

Once an SEC investigation kicks off, seasoned SEC defense counsel can provide vital help:

Initial Response

Right away, your defense team can start crafting an initial response strategy. They can contact SEC staff to open communication channels and clarify the issues.

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.

Document Collection

Your lawyers can efficiently gather documents requested by SEC subpoenas. They’ll do a thorough yet targeted search to avoid handing over unnecessary stuff. They can also withhold privileged documents.

Witness Preparation

Before you or others testify in an SEC deposition or interview, your attorneys can hold prep sessions. They’ll explain the process and help you provide clear, truthful testimony for your defense.

Settlement Negotiations

Many SEC probes end in settlements. Your skilled negotiators can work to get favorable settlement terms, potentially avoiding harsher outcomes like injunctions or huge fines.


If no settlement is reached, experienced SEC defense litigators can take the case to trial. They’ll vigorously contest the SEC’s charges and fight for the best possible result.

Key Defense Strategies

SEC defense lawyers use various strategies to counter SEC allegations and strengthen your defense. Common techniques include:

  • Contesting intent for charges requiring intent
  • Questioning if alleged misstatements were really material enough to impact investors
  • Blaming third-parties like vendors or advisors if possible
  • Highlighting strong compliance programs

Seasoned SEC defense counsel know which strategies work best for different cases and charges.

Picking the Right SEC Defense Team

Not all securities lawyers are equal. When facing an SEC probe, it’s critical to choose the right defense squad. Look for attorneys with:

  • Extensive SEC defense experience – investigations, Wells notices, litigation, etc.
  • In-depth knowledge of relevant SEC regulations
  • Proven track record with similar cases
  • Resources for large, complex cases if needed
  • Strong negotiation skills
  • Litigation skills in case settlement talks fail
  • Good relationships and credibility with SEC staff

Don’t leave your fate in the SEC’s hands. Contact experienced New York SEC defense lawyers to start building your winning defense today.

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