Learn more about Spodek Law Group and how we can help with your case.
The SEC possesses authority to sanction attorneys practicing before the Commission. The SEC’s regulatory framework permits multiple forms of disciplinary action against legal professionals.
When Can the SEC Disbar an Attorney?
Under Rule 102(e), the SEC may pursue disbarment under three circumstances:
- Conviction of felonies or misdemeanors involving moral turpitude
- Suspension or disbarment by state bars or licensing authorities
- Engagement in unethical or improper professional conduct
Common allegations include assisting clients in securities law violations, filing false statements, inadequate due diligence, misappropriation of client funds, obstruction of justice, and perjury.
Potential Consequences
The SEC may impose four sanctions:
- Censure
- Temporary suspension from SEC practice
- Disbarment with or without reapplication permission
- Permanent disbarment without reapplication possibility
Your Options
Two primary approaches exist: contesting allegations on their merits or negotiating settlement with the Enforcement Division. Settlement negotiations often yield better outcomes than trial results.
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
45 seconds that explain our difference
