Learn more about Spodek Law Group and how we can help with your case.
Compliance officers serve critical functions in businesses and organizations. While they need operational freedom to perform effectively, they are now being held accountable for failures with both civil and criminal liability.
The U.S. Department of Justice recently charged two individuals for compliance failures in February 2024: a cryptocurrency exchange’s Chief Compliance Officer charged with obstruction of justice and wire fraud, and a healthcare company’s former Chief Compliance Officer charged with conspiracy and wire fraud.
The DOJ’s Focus on Corporate Compliance Officers
The DOJ prioritizes prosecuting compliance officers who breach their duties. Prosecutors consider multiple factors:
- The compliance officer’s intent: Criminal prosecution typically occurs when officers intentionally facilitate or intentionally ignore violations.
- The scope of the violation: Prosecutors target large-scale federal law violations.
- The harm caused to the public: The DOJ focuses on prosecutions where violations create significant public harm.
What Can Compliance Officers Do to Protect Themselves?
Officers should ensure they effectively perform their jobs, thoroughly understand their responsibilities, and document their efforts to meet responsibilities. Solid documentation becomes critical for building defense strategies during federal investigations.
Can Compliance Officers Face Liability for Their Superiors’ Decisions?
In certain circumstances, yes. While superiors decide what to do with compliance advice, officers cannot intentionally facilitate non-compliance.
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.
Need Help With Your Case?
Our experienced criminal defense attorneys are available 24/7 for a confidential consultation.
100% Confidential. Your information is protected.
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
45 seconds that explain our difference
