Securities Fraud Lawyer in Kings County (Brooklyn), New York
Securities fraud in Kings County, NY, involves deceptive practices in the stock or commodities markets and is prosecuted under both state and federal law. As a former prosecutor, Mr. Sris of Law Offices Of SRIS, P.C. provides a strategic defense for individuals and businesses facing SEC, FINRA, or DOJ investigations.
What Is Securities Fraud Under New York Law?
Securities fraud, often referred to as investment or stock fraud, includes a range of illegal activities where investors are deceived for financial gain. In New York, these cases can be prosecuted under the New York Martin Act (General Business Law Article 23-A), which grants the Attorney General broad investigatory and prosecutorial powers, as well as under federal statutes like the Securities Exchange Act of 1934. The Martin Act is unique for not requiring proof of intent to defraud, making it a powerful tool for prosecutors.
Last verified: April 2026 | Kings County Supreme Court | New York State Legislature
Official Legal Resources
For the official text of New York’s securities laws, refer to the New York General Business Law on the state legislature’s website. For federal rules and enforcement actions, the U.S. Securities and Exchange Commission (SEC) provides full resources and filings.
Local Procedure for Securities Fraud Cases in Kings County
Securities fraud cases in Kings County often originate from investigations by the New York Attorney General’s Investor Protection Bureau or federal agencies. These are typically felony-level offenses heard in the Kings County Supreme Court. The process is complex, beginning with a subpoena or search warrant, potentially skilled to a grand jury indictment. Given the financial complexity, early intervention by a Securities Fraud Attorney Kings NY is critical to manage document production, negotiate with regulators, and prepare for potential trial.
- Receive Notice of Investigation: This may be a subpoena, a Wells notice from the SEC, or contact from FINRA or the NYAG.
- Secure Legal Counsel Immediately: Do not speak to investigators without your Securities Fraud Lawyer Kings NY. All communications can be used against you.
- Document Review & Strategy: Your attorney will conduct a thorough review of all financial records, emails, and trading histories to build a defense narrative.
- Negotiation & Resolution: Many cases are resolved through settlements, deferred prosecution agreements, or pre-trial motions to dismiss, avoiding the risks of a trial.
- Trial Preparation: If a settlement is not in your best interest, your legal team will prepare for trial, including experienced witness testimony on market practices.
Potential Penalties for Securities Fraud
In Kings County, securities fraud is typically charged as a felony, with penalties ranging from probation to significant prison time and multimillion-dollar fines, depending on the loss amount and scope of the scheme.
| Charge Level | Classification | Incarceration | Fines | Additional Consequences |
|---|---|---|---|---|
| Scheme to Defraud (Martin Act) | Class E Felony | 1-4 years | Up to $5,000 or double the gain | Disgorgement, restitution, industry bar |
| Grand Larceny (over $1M) | Class B Felony | 5-25 years | Up to $30,000 or double the gain | Asset forfeiture, permanent criminal record |
| Federal Securities Fraud | Federal Felony | Up to 25 years | Up to $250,000 (individual) | SEC civil penalties, lifetime ban from serving as officer/director |
Results may vary. Prior results do not aim for a similar outcome.
Why Choose Our Securities Fraud Law Firm in Kings NY
Founded in 1997 by former prosecutor Mr. Sris, Law Offices Of SRIS, P.C. brings over 120 years of combined legal experience to the table. Mr. Sris’s background in accounting and information systems provides a distinct advantage in dissecting complex financial evidence, a critical skill when facing a Securities Fraud Law Firm Kings NY with the resources of the state or federal government. Our approach is collaborative, and we ensure every client benefits from the deep, multi-state experience of our entire team.
Documented Case Results
While specific securities fraud results are confidential, the strategic principles applied are proven. Firm-wide, SRIS, P.C. has handled 4,739+ documented case results with a 93%+ favorable outcome rate, including dismissals, charge reductions, and favorable settlements in complex financial cases. These results stem from meticulous preparation and aggressive advocacy.
Results may vary. Prior results do not aim for a similar outcome.
Securities Fraud Defense Near Kings County (Brooklyn)
Our New York location serves clients throughout Kings County (Brooklyn). We are accessible from neighborhoods including Downtown, Williamsburg, Park Slope, DUMBO, Brooklyn Heights, Bushwick, Crown Heights, Flatbush, Bay Ridge, Bed-Stuy, Bensonhurst, Coney Island, Brownsville, and Sunset Park.
Available 24/7: Toll-Free: (888) 437-7747 | Local: (838)-292-0003
Meetings: By appointment only at our New York location.
Law Offices Of SRIS, P.C.
50 Fountain Plaza, Suite 1400, Office No. 142
Buffalo, NY 14202
Securities Fraud Lawyer FAQ: Kings County, NY
What should I do if I receive a subpoena from the SEC or NY Attorney General?
Contact a Securities Fraud Lawyer Kings NY immediately. Do not respond or produce any documents without legal counsel. A subpoena is a serious step in an investigation, and your response can significantly impact whether the matter escalates to civil or criminal charges.
Can I go to jail for securities fraud in New York?
Yes. Securities fraud is typically charged as a felony in New York. Penalties under the Martin Act or for grand larceny can range from one to twenty-five years in prison, depending on the charge level and financial loss involved.
What is the difference between an SEC investigation and a criminal case?
An SEC investigation is civil/administrative and can result in fines, disgorgement, and industry bars. A criminal case, brought by the DOJ or state AG, can lead to prison. These often proceed as “parallel proceedings.” A Securities Fraud Attorney Kings NY must handle both to protect your freedom and livelihood.
How long does a securities fraud investigation take?
It depends. Investigations can last from several months to multiple years. The timeline depends on the complexity, the amount of evidence, and whether it’s a state or federal matter. Early and strategic legal involvement can sometimes shorten the process or lead to an earlier resolution.
What defenses are available in a securities fraud case?
Common defenses include lack of intent to defraud (for federal charges), demonstrating full disclosure to investors, challenging the materiality of alleged misstatements, or showing reliance on advice of counsel. The specific defense depends entirely on the facts and evidence of your case.
Internal Resources: For more on our defense approach, see our New York Criminal Defense hub. If you are also facing related business litigation, our Kings County Business Lawyer can provide coordinated counsel.
Page last verified and updated: April 2026. Laws and procedures change. For current guidance, contact Law Offices Of SRIS, P.C. at (888) 437-7747.
Under N.Y. Bus. Corp. Law § 101, state law governs this practice area.