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For companies facing investigations by the SEC, time is a critical factor. While the SEC is quick to accuse companies of violating federal securities laws, the path to settlement after an SEC subpoena or Wells Notice is not straightforward.
Four Key Considerations for Settlement
- Was there a Securities Law Violation? If not, settling would be unwise. The better course is challenging the SEC’s allegations.
- Is the SEC Committed to Its Position? The SEC may be unwilling to negotiate until realizing it has more to lose by pursuing charges.
- Do You Need to Involve the DOJ? If the SEC threatens to refer your company’s investigation to the DOJ, this adds complexity.
- Can You Afford to Settle? The SEC routinely pursues extremely high fines and penalties.
Seven Steps to Settlement Success
- Engaging the SEC’s Enforcement Division
- Assessing the Allegations
- Assessing Potential Liability
- Developing a Settlement Strategy
- Approaching the SEC with a Settlement Proposal
- Negotiating with the SEC
- Finalizing Settlement Terms
SEC Prioritization for Settlement Cases
The SEC prioritizes cases involving multiple companies under investigation, substantial financial stakes, clearly prohibited conduct, novel legal issues, and ongoing or systemic violations.
Reduction in pretrial jail population since NJ bail reform implementation.
Source: NJ Judiciary Annual ReportApproval rate for properly filed expungement petitions in NJ.
Source: NJ Courts Statistical ReportCommon Mistakes to Avoid
Actually Stay Silent
Most people know they have the right to remain silent but still talk to police. Anything you say can and will be used against you. Politely decline to answer questions until your attorney is present.
Bail Conditions Are Enforceable
Violating bail conditions, even minor ones, can result in immediate re-arrest and make it much harder to obtain bail again. Follow every condition to the letter.
Proven Track Record
Recent Case Results
*Results may vary depending on your particular facts and legal circumstances.
SEE ALL CASE RESULTSWhat Our Clients Say
"Facing an SEC investigation was terrifying. The Spodek team negotiated a resolution that preserved my career and my reputation. Their knowledge of securities law is unmatched."— David A., SEC Defense Client MORE REVIEWS
Lead Attorney & Founder
Todd Spodek
Featured on Netflix's "Inventing Anna," Todd Spodek brings decades of high-stakes criminal defense experience to every case.
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Frequently Asked Questions
New Jersey reformed its bail system in 2017. Instead of a cash-based system, judges now use a Public Safety Assessment (PSA) to determine whether a defendant should be released pretrial. Most defendants are released with conditions, while those deemed high-risk may be detained. An experienced attorney can argue for favorable release conditions at your detention hearing.
No. You have the constitutional right to remain silent and to have an attorney present during questioning. Anything you say to police can be used against you in court. Politely invoke your rights by saying "I want to speak with my attorney before answering any questions." This cannot be held against you.
Attorney fees vary based on the complexity of the case, the charges involved, and whether the case goes to trial. At Spodek Law Group, we offer transparent pricing and flexible payment plans. We provide a free initial consultation to discuss your case and give you an honest assessment of costs. Investing in quality representation often saves far more in the long run than choosing the cheapest option.
An arraignment is your first court appearance after being charged with a crime. The judge will read the charges against you, and you'll enter a plea (usually not guilty at this stage). The judge will also set bail or release conditions. Having an attorney at your arraignment is critical, as they can advocate for favorable bail terms and begin building your defense strategy from day one.
Why Clients Choose Spodek Law Group
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