Securities Fraud Lawyer Edison County NJ | SRIS, P.C.
Securities Fraud Lawyer Edison County NJ — What Are Your Defense Options?
Securities fraud in Edison County, NJ, is a serious federal offense under 15 U.S.C. § 78j(b) and N.J.S.A. 49:3-52, carrying severe penalties. If you are under investigation by the SEC or facing charges for insider trading or investment fraud, you need an experienced securities fraud lawyer. Law Offices Of SRIS, P.C.
Last verified: April 2026 | Information sourced from federal and New Jersey statutes.
Understanding Securities Fraud Charges in New Jersey
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 Jersey, these cases are prosecuted at both the federal and state levels. Federal charges typically fall under the Securities Exchange Act of 1934 and are handled by agencies like the Securities and Exchange Commission (SEC) and the Department of Justice. State charges may be brought under the New Jersey Uniform Securities Law.
Common types of securities fraud include insider trading, Ponzi schemes, accounting fraud, and making false statements in SEC filings. The penalties upon conviction are severe, including lengthy prison sentences, substantial fines, disgorgement of profits, and permanent bars from serving as an officer or director of a public company.
Key Laws and External Resources
Understanding the applicable laws is critical. The primary federal statute is 15 U.S.C. § 78j(b) (Rule 10b-5), which prohibits fraud in connection with the purchase or sale of securities. In New Jersey, the New Jersey Uniform Securities Law (N.J.S.A. 49:3-47 et seq.) governs state-level violations. The U.S. Securities and Exchange Commission provides information on enforcement actions, and the New Jersey Courts website offers resources on state court procedures.
- Receive a subpoena, Wells notice, or target letter from the SEC or DOJ.
- Immediately secure legal representation to protect your rights and avoid self-incrimination.
- Your securities fraud law firm will conduct an internal investigation and analyze the evidence.
- Engage in negotiations with prosecutors or the SEC, which may involve presenting exculpatory evidence or arguing for reduced charges.
- If necessary, prepare for and proceed to trial in federal or state court to defend against the allegations.
Potential Penalties for Securities Fraud
In Edison County, NJ, securities fraud is prosecuted as a federal crime with penalties that can include decades in prison and multi-million dollar fines, also to state-level consequences.
| Offense Level | Classification | Incarceration | Fines | Additional Consequences |
|---|---|---|---|---|
| Federal Securities Fraud | Felony | Up to 25 years | Up to $5 million (individuals) / $25 million (entities) | Disgorgement, restitution, SEC bars, forfeiture |
| NJ State Securities Fraud | Crime of the 2nd/3rd Degree | 5-10 years / 3-5 years | Up to $150,000 | Civil penalties, license revocation |
Results may vary. Prior results do not aim for a similar outcome.
Our Experience in Financial Crime Defense
Founded in 1997 by former prosecutor Mr. Sris, Law Offices Of SRIS, P.C. brings over 120 years of combined legal experience to every case. Our “Advocacy Without Borders” philosophy drives a meticulous approach to complex financial defense. We understand the technical nuances of market transactions, financial disclosures, and regulatory frameworks that are central to securities fraud cases. Our team is prepared to challenge the government’s evidence, negotiate with regulators, and provide a vigorous defense at trial.
Case Results and Client Advocacy
Our firm has a documented record of achieving favorable outcomes in complex criminal defense matters. While every case is unique, our strategic approach focuses on early case assessment, challenging the sufficiency of the government’s evidence, and exploring all procedural and substantive defenses. We have successfully negotiated for the dismissal of charges, reduction of charges, and favorable settlements in regulatory investigations.
Results may vary. Prior results do not aim for a similar outcome.
Contact Our Securities Fraud Law Firm in Edison County
If you are under investigation or facing charges for securities fraud in Edison County, NJ, immediate action is critical. Our securities fraud attorney is ready to defend you.
Law Offices Of SRIS, P.C.
44 Apple St, 1st Floor
Tinton Falls, NJ 07724
Toll-Free: (888) 437-7747 | Local: (609)-983-0003
By appointment only.
We offer 24/7 phone consultations. Our New Jersey location serves clients throughout Edison County and the surrounding region.
Frequently Asked Questions
What is the first thing I should do if I receive an SEC subpoena?
Yes, contact a securities fraud lawyer immediately. Do not respond or provide any documents without legal counsel. An attorney can help you understand the scope, protect your rights, and develop a strategy for compliance and defense.
Can I go to jail for insider trading in New Jersey?
Yes. Insider trading is a federal crime punishable by up to 20 years in prison and fines up to $5 million for individuals. State penalties may also apply, making the counsel of a securities fraud attorney essential.
What is the difference between an SEC investigation and a DOJ prosecution?
It depends. The SEC is a regulatory agency that conducts civil investigations and can bring administrative actions or file civil lawsuits. The DOJ handles criminal prosecutions. Often, they work in parallel. A securities fraud law firm can handle both proceedings.
How long does a securities fraud investigation typically last?
Months to several years. The timeline varies based on case complexity, evidence volume, and whether it’s civil or criminal. Early and strategic engagement with a securities fraud lawyer can sometimes influence the duration and outcome.
What are common defenses to securities fraud charges?
Several defenses may apply, including lack of intent, materiality challenges, reliance on experienced advice, statute of limitations, and insufficient evidence. A skilled securities fraud attorney in Edison County, NJ, will identify the strongest defenses for your specific situation.