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Securities Fraud: Responding to Search Warrants and Document Requests

 

Securities Fraud: Responding to Search Warrants and Document Requests

Getting a search warrant or document request related to securities fraud can be scary. Let’s break down what to do step-by-step so you know how to handle it.

What is a Search Warrant?

A search warrant allows the government to enter and search private property and seize evidence. To get one, investigators have to show probable cause of a crime to a judge. If approved, they can raid a home or office and take computers, files, etc. It’s invasive so you gotta be prepared.

What’s in a Warrant?

The warrant lists what they’re looking for and where they can search. Read it closely – they can only look in the spots and for the stuff listed. If they go beyond that, object immediately and contact your lawyer.

Securing the Premises

As soon as the warrant is served, secure entrances so no one enters or leaves with stuff. Law enforcement will likely do this too but be proactive. Don’t obstruct them though – that causes more issues!

Observing the Search

Stick close by and observe what they photograph or seize. Take notes! If anything seems fishy or beyond scope, again, object on the record and contact counsel.

Making Copies

Ask to make copies of seized electronics before they leave. You want your own set to review later. They may refuse but insist if the files are critical to operations.

Christine Twomey
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
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
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
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
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
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
Loveth Okpedo
2024-03-12
Very professional, very transparent, over all a great experience
Bee L
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
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.

Employee Interviews

If they start questioning employees, have a lawyer present to monitor and object if needed. Answer only what’s in scope – nothing more! Take notes afterward on what was asked/answered.

Preserving Evidence

As soon as you can, preserve evidence related to the investigation. Collect emails, files, etc. and store securely so they aren’t deleted. Courts hate spoilation!

Conducting an Internal Investigation

Get out ahead by launching an independent internal probe. Review the preserved records plus interview folks involved. Uncover the facts yourself.

Understanding Defenses

There are defenses to securities fraud charges. Lack of intent, good faith reliance on professionals, or having policies against misconduct can all help. Discuss options with counsel.

Responding to Document Requests

Similar rules apply for document requests and subpoenas. Carefully review what is sought and object to anything improper or overbroad. Only provide what is properly requested – nothing more.

Negotiating with Investigators

Don’t be afraid to negotiate scope and timing with investigators. Narrow requests to less burden, buy time to gather records, allow more employee flexibility, etc.

Seeking a Stay

If the investigation seems misguided, seek a stay from the agency or court overseeing it. Argue there are factual disputes or it exceeds authority. A stay pauses things.

Getting that dreaded search warrant or subpoena is stressful. But handling it properly from the start can help resolve things faster and minimize damage. With the right prep, policy, and legal advice, you can survive securities fraud investigations. Stay calm, know your rights, and let your lawyers lead the charge!

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