Investment Fraud Lawyer in New York County (Manhattan), NY
If you are facing allegations of investment fraud in New York County (Manhattan), you need an experienced Investment Fraud Lawyer New York. Investment fraud is a serious white-collar crime prosecuted under both state and federal securities laws, carrying severe penalties including substantial fines and lengthy prison terms. The Law Offices Of SRIS, P.C.
Understanding Investment Fraud in New York
Investment fraud, often referred to as securities fraud, involves deceptive practices in the stock or commodities markets that induce investors to make purchase or sale decisions based on false information. In New York, these cases are aggressively pursued by the New York Attorney General’s Office, the Manhattan District Attorney’s Office, and federal agencies like the SEC and FBI. The legal framework includes the New York Martin Act, one of the nation’s most powerful anti-fraud statutes, which does not require proof of intent to defraud.
Last verified: April 2026 | New York County Supreme Court | New York State Legislature
Key Statutes and Legal Resources
The primary statutes governing investment fraud in New York include the New York Martin Act (General Business Law Article 23-A) and federal laws like the Securities Exchange Act of 1934. For official state code, refer to the New York General Business Law. Court procedures and filings for New York County are managed through the New York County Supreme Court website.
Procedural Insights for Manhattan Courts
Investment fraud cases in Manhattan are frequently filed in the New York County Supreme Court, Commercial Division, which handles complex business litigation. The Manhattan DA’s White-Collar Crime Unit has extensive resources. A key local procedural fact is that the Commercial Division has a streamlined process for business disputes, with a minimum amount in controversy of $500,000 for cases filed in Manhattan. The court often sees cases involving allegations of misrepresentation in private placement memoranda or false statements to investors.
- Initial Investigation & Subpoena: You may receive a subpoena from the NYAG, SEC, or a grand jury. Do not respond without counsel.
- Charging Decision: Authorities will decide whether to bring state charges under the Martin Act or federal securities fraud charges.
- Arraignment & Bail: If criminally charged, you will be arraigned. Bail arguments often focus on flight risk given the potential penalties.
- Discovery & Motion Practice: Your attorney will review voluminous financial records and file motions to challenge the sufficiency of the evidence.
- Plea Negotiations or Trial: Most cases involve complex plea discussions. If a plea isn’t reached, a trial before a New York County jury will occur.
- Sentencing & Restitution: If convicted, sentencing will consider the dollar loss to investors, and courts almost always order restitution.
Potential Penalties for Investment Fraud
In New York County (Manhattan), a conviction for investment fraud under the Martin Act can result in decades in prison, multimillion-dollar fines, and mandatory restitution to victims.
| Charge | Classification | Incarceration | Fine | Additional Consequences |
|---|---|---|---|---|
| Martin Act Violation (GBL § 352-c) | Class E Felony to Class B Felony | Up to 25 years | Up to $5,000,000 or double the gain/loss | Disgorgement, restitution, permanent injunction |
| Securities Fraud (Federal) | Federal Felony | Up to 20 years per count | Up to $5,000,000 (individuals) | Asset forfeiture, SEC civil penalties, industry bar |
| Scheme to Defraud (Penal Law § 190.65) | Class E Felony | Up to 4 years | As determined by the court | Restitution, criminal record |
Results may vary. Prior results do not aim for a similar outcome.
Why Choose Our Investment Fraud Law Firm New York
Founded in 1997 by former prosecutor Mr. Sris, the Law Offices Of SRIS, P.C. brings over 120 years of combined legal experience to every case. Our firm-wide track record includes over 4,739 case results with a favorable outcome rate exceeding 93%. Our Advocacy Without Borders philosophy means we mount an aggressive, informed defense from the first sign of an investigation. Mr. Sris’s background in accounting and information systems provides a distinct advantage in dissecting complex financial evidence.
Our Approach to Investment Fraud Defense
Our Investment Fraud Attorney New York team begins by conducting an immediate internal investigation to understand the allegations fully. We engage financial experts early to analyze transaction records and valuation models. A core strategy involves challenging the materiality of alleged misstatements and the prosecution’s calculation of investor loss, which directly drives sentencing. We also explore pre-charge resolutions, such as negotiating with the SEC for a civil settlement to avoid criminal indictment.
Results may vary. Prior results do not aim for a similar outcome.
Local Presence and Accessibility
Our New York location serves clients at New York County (Manhattan) courts. We are accessible via all major subway lines, the FDR Drive, and West Side Highway. Our firm provides representation to clients throughout Manhattan, including Midtown, Lower Manhattan, the Upper East and West Sides, Harlem, Greenwich Village, SoHo, Tribeca, Chelsea, the Financial District, and Washington Heights.
Law Offices Of SRIS, P.C.
50 Fountain Plaza, Suite 1400, Office No. 142
Buffalo, NY 14202
Toll-Free: (888) 437-7747 | Local: (838)-292-0003 | Local: (838) 292-0003
By appointment only.
24/7 phone consultations — (888) 437-7747 — meetings by appointment only. Contact our Investment Fraud Lawyer New York for a case evaluation.
Investment Fraud Lawyer FAQs
What is the New York Martin Act?
Yes. The Martin Act (NY General Business Law Article 23-A) is a powerful state anti-fraud statute that allows the Attorney General to investigate and prosecute investment fraud without needing to prove the defendant’s intent to defraud, making it a uniquely potent tool for prosecutors.
Can I be charged with both state and federal investment fraud?
It depends. Dual prosecution by state and federal authorities for the same conduct is possible under the “dual sovereignty” doctrine. However, strategic negotiations by your attorney often seek to resolve all allegations under one jurisdiction to avoid cumulative penalties.
What are the first steps if I’m under investigation?
First, secure an experienced Investment Fraud Attorney New York immediately. Do not speak to investigators or comply with subpoenas without legal counsel. Your lawyer will communicate with authorities, assess the evidence, and begin building a defense strategy to potentially avoid charges.
What defenses are available in investment fraud cases?
Common defenses include lack of material misrepresentation, good faith belief in the statements made, insufficient evidence of loss causation, and challenging the methods used to calculate investor damages. Each defense is highly fact-specific and requires experienced financial analysis.
How long does an investment fraud case take?
Timelines vary widely. A clear SEC civil matter may resolve in months, while a complex criminal Ponzi scheme prosecution in New York County Supreme Court can take two to four years from investigation through trial, depending on the evidence volume and legal motions filed.
Contact an Investment Fraud Lawyer New York Today
The stakes in an investment fraud case are extraordinarily high, with the potential for life-altering penalties. The Law Offices Of SRIS, P.C. has the experience and resources to defend you. Call our Investment Fraud Law Firm New York at (888) 437-7747 for a 24/7 consultation. We serve clients throughout New York County by appointment.
Related Pages: For other legal services in Manhattan, see our Business Lawyer and Civil Litigation Lawyer pages. For a broader view of our commercial practice, visit our New York Commercial Lawyer hub.
Last verified: April 2026. Laws and procedures change. For the most current advice regarding investment fraud defense in New York, contact Law Offices Of SRIS, P.C. at (888) 437-7747.