SEC Defense
SEC Settlement vs. Going to Trial: What You Need to Know
SEC Settlement vs. Going to Trial: What You Need to Know Discuss Your Options with a Former SEC Enforcement Attorney at Spodek Law Group When facing...
February 5, 2026Expert Analysis & Commentary
Firm Updates & Analysis
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SEC Defense
The SEC vs. the CFTC: Who Regulates Crypto and Why It Matters
The SEC vs. the CFTC: Who Regulates Crypto and Why It Matters The SEC and CFTC Want to Regulate Crypto. Their Turf War Is Playing Out in Federal Cour...
February 5, 2026
SEC Defense
SEC Whistleblower Retaliation Claims
SEC Whistleblower Retaliation Claims The SEC’s Whistleblower Program Protects Employees Who Report Securities Law Violations from Unlawful Retaliatio...
February 5, 2026
SEC Defense
Securities Fraud Penalties Explained
Sec urities Fraud Penalties Explained How Federal Prosecutors and the SEC Penalize Securities Fraud – and What Defendants Need to Know When facing al...
February 5, 2026
SEC Defense
Responding to an SEC Investigation: What You Need to Know
Responding to an SEC Investigation: What You Need to Know Receiving word that you or your company is the subject of an investigation by the U.S. Secu...
February 5, 2026
SEC Defense
Should I Self-Report to the SEC?
Should I Self-Report to the SEC ? Self-reporting to the U.S. Securities and Exchange Commission (SEC) is one of the most important law enforcement an...
February 5, 2026
SEC Defense
What Is a 10b5-1 Plan?
What Is a 10b5-1 Plan? Rule 10b5-1 sets forth the elements of the offense of insider trading and provides an affirmative defense for corporate inside...
February 5, 2026
SEC Defense
What Is a FINRA Investigation?
What Is a FINRA Investigation? FINRA Has Broad Authority to Investigate Broker-Dealers and Individual Brokers. If it Finds Evidence of Misconduct, It...
February 5, 2026
SEC Defense
What Is an SEC Deferred Prosecution Agreement?
What Is an SEC Deferred Prosecution Agreement? Our Former Federal Prosecutors and SEC Defense Attorneys Help Companies and Their Executives Secure Fa...
February 5, 2026
SEC Defense
What Is an SEC Whistleblower?
What Is an SEC Whistleblower? Meet the Whistleblowers The SEC whistleblower program operates under the Dodd-Frank Wall Street Reform and Consumer Pro...
February 5, 2026Need Immediate Counsel?
Reading about federal law won’t stop an indictment. If you are under investigation, you need an aggressive defense strategy immediately.