Securities Fraud Lawyer Hunterdon County — Federal Defense Strategy
Securities fraud in Hunterdon County is prosecuted federally under 18 U.S.C. § 1348, carrying severe penalties. As a securities fraud lawyer Hunterdon County, Law Offices Of SRIS, P.C. provides defense against SEC investigations and criminal charges. Our firm has handled contested financial cases across federal jurisdictions. Contact us for a case review.
Last verified: April 2026 | U.S. District Court for the District of New Jersey | New Jersey legislature
Federal Securities Fraud Law
Securities fraud involves deceptive practices in the stock or commodities markets, such as insider trading, Ponzi schemes, or misrepresentation of a company’s financial condition. These cases are investigated by the SEC and prosecuted by the U.S. Attorney’s Office for the District of New Jersey. The primary statute is 18 U.S.C. § 1348 (securities fraud), which carries penalties of up to 25 years imprisonment and fines. Other relevant laws include the Securities Exchange Act of 1934 and the Sarbanes-Oxley Act. An experienced investment fraud defense lawyer Hunterdon County is critical from the earliest stage of an SEC inquiry.
For official statutes, see 18 U.S.C. § 1348 (securities fraud) and the New Jersey Courts website for federal court procedures.
- Receive an SEC subpoena or Wells Notice.
- Consult immediately with a securities fraud lawyer Hunterdon County to assess exposure.
- Develop a strategy for responding to the SEC or a federal grand jury.
- Negotiate for a civil resolution or prepare a vigorous criminal defense.
Penalties for Securities Fraud
In Hunterdon County, federal securities fraud carries a maximum of 25 years imprisonment per count, multi-million dollar fines, disgorgement, and permanent industry bars.
| Offense | Classification | Incarceration | Fine | Additional Consequences |
|---|---|---|---|---|
| Securities Fraud (18 U.S.C. § 1348) | Federal Felony | Up to 25 years | Up to $250,000 (individual) / $500,000 (organization) | Disgorgement, restitution, SEC bar |
| Insider Trading | Federal Felony | Up to 20 years | Up to $5 million | Civil penalties up to 3x profit gained/loss avoided |
| Wire Fraud (scheme) | Federal Felony | Up to 20 years | As above | Asset forfeiture |
Results may vary. Prior results do not guarantee a similar outcome.
Firm Experience in Financial Crime Defense
Law Offices Of SRIS, P.C. was founded in 1997. Our attorneys combine over 120 years of legal experience. Mr. Sris, the firm’s managing attorney, has a background in accounting and information systems, providing a distinct advantage in dissecting financial evidence in securities fraud cases. This technical foundation supports a strong defense against allegations from the SEC or DOJ.
Case Results
Our firm-wide record includes 4,739+ documented case results with over 93% favorable outcomes. While specific securities fraud results in Hunterdon County are part of a confidential federal docket, our attorneys have successfully defended clients in federal financial crime investigations, achieving resolutions that avoided indictment or minimized penalties.
Results may vary. Prior results do not guarantee a similar outcome.
Law Offices Of SRIS, P.C.
New Jersey Location — 44 Apple St, 1st Floor, Tinton Falls, NJ 07724
Toll-Free: (888) 437-7747 | Local: (732) 763-1924
By appointment only.
Our New Jersey location serves clients at federal courts in Newark, Trenton, and Camden. We represent individuals and professionals in Flemington, Clinton, Lambertville, and throughout Hunterdon County facing SEC violation lawyer Hunterdon County matters. 24/7 phone consultations are available at (888) 437-7747. Meetings are by appointment only.
Securities Fraud Defense FAQs
What triggers an SEC investigation?
Yes. Common triggers include unusual trading activity before major announcements, whistleblower tips, financial statement irregularities, or referrals from other regulatory bodies. The SEC may issue a subpoena for documents or testimony.
What is the difference between an SEC investigation and a criminal case?
An SEC investigation is civil/administrative, seeking fines, disgorgement, or industry bars. A criminal case, brought by the DOJ, seeks imprisonment. The SEC often works with the DOJ; evidence from an SEC case can lead to criminal charges. An investment fraud defense lawyer Hunterdon County can handle both.
Should I cooperate with an SEC investigation without a lawyer?
No. You should never speak with SEC investigators or provide documents without legal counsel. Statements can be used against you in civil and criminal proceedings. An attorney manages all communication.
What are the defenses to securities fraud?
Defenses include lack of intent, good faith reliance on professional advice, materiality challenges, and statute of limitations. Each case is fact-intensive. A securities fraud lawyer Hunterdon County analyzes the evidence to identify the strongest defense strategy.
Can I settle an SEC case?
Yes, most SEC cases settle. Settlements may involve paying a civil penalty, disgorgement, and agreeing to an injunction or industry bar without admitting guilt. An experienced SEC violation lawyer Hunterdon County negotiates terms to protect your future.
For more information, see our New Jersey Federal Criminal Defense hub page. We also assist clients in nearby areas like Somerset County and with related matters such as business law in Hunterdon County.
Last verified: April 2026. Laws change — contact Law Offices Of SRIS, P.C. at (888) 437-7747 for current guidance.
If you want to see how a Hunterdon County case fits into the wider process, our page on securities fraud lawyer New Jersey covers it from start to finish.
Your case in Hunterdon County, New Jersey
Federal charges are heard in the U.S. District Court for the District of New Jersey (Newark, Trenton and Camden), not in county court; related state charges are heard in the Criminal Part of the Law Division. In Hunterdon County that is the Superior Court of NJ, Hunterdon Vicinage (13th Vicinage), 65 Park Avenue, Flemington, NJ 08822, telephone (908) 824-9750, open Mon-Fri 8:30AM-4:30PM. Court procedures change; confirm the current schedule on the official vicinage website or with the clerk before you file or appear.
The governing law for this topic is Title 18 of the United States Code and the Federal Rules of Criminal Procedure. Law Offices Of SRIS, P.C. handles Hunterdon County matters from its New Jersey location at 44 Apple St 1st Floor, Tinton Falls, NJ 07724; meetings are by appointment. Request a New Jersey consultation at (888) 437-7747 or (609) 983-0003.
Related New Jersey pages: Hunterdon County NJ lawyers directory · Securities Fraud Lawyer Bergen County, NJ · Securities Fraud Lawyer Hudson County, NJ · Securities Fraud Defense Lawyer Monmouth County, NJ.