New Jersey Securities Fraud Lawyer — What Are Your Defense Options?
Securities fraud in New Jersey is a serious federal and state crime involving deceptive practices in the stock or commodities markets. As a New Jersey securities fraud lawyer, we defend clients facing investigations by the SEC, FINRA, or the New Jersey Bureau of Securities. The Law Offices Of SRIS, P.C.
Last verified: April 2026 | New Jersey Superior Court | New Jersey Legislature
Understanding Securities Fraud Charges in New Jersey
Securities fraud, often prosecuted under both federal law (like the Securities Exchange Act of 1934) and New Jersey state statute (N.J.S.A. 49:3-52 et seq.), involves the intentional deception of investors for financial gain. Common schemes include insider trading, making false statements in financial reports, market manipulation, and operating Ponzi schemes. These cases are complex, frequently involving voluminous financial records and digital evidence. A conviction can result in severe penalties, including lengthy federal prison sentences, multimillion-dollar fines, disgorgement of profits, and permanent bans from serving as an officer or director of a public company.
Founded in 1997 by former prosecutor Mr. Sris, our firm has a background in accounting and information systems, providing a distinct advantage in dissecting complex financial evidence often central to securities fraud cases.
Legal Resources and Statutes
It is crucial to understand the specific laws and governing bodies involved in a securities fraud case. The primary federal statutes are enforced by the Securities and Exchange Commission (SEC) and the Department of Justice. In New Jersey, the New Jersey Bureau of Securities also has enforcement authority. Key statutes include the Securities Act of 1933, the Securities Exchange Act of 1934, and the New Jersey Uniform Securities Law.
- Receive a subpoena, Wells notice, or target letter from the SEC, DOJ, or NJ Bureau of Securities.
- Immediately secure legal counsel to prevent self-incrimination during any voluntary interviews or document productions.
- Your legal team will conduct an internal investigation to assess exposure and identify potential defenses.
- Engage in pre-charge negotiations, which may involve presenting exculpatory evidence to persuade authorities not to file charges.
- If charged, mount an aggressive defense at trial, challenging the evidence of intent, materiality, and reliance.
Potential Penalties for Securities Fraud
In New Jersey, securities fraud penalties vary based on whether charges are brought federally or at the state level, but both carry the potential for decades in prison and crippling fines.
| Charge Level | Classification | Incarceration | Fines | Additional Consequences |
|---|---|---|---|---|
| Federal Securities Fraud | Felony | Up to 25 years per count | Up to $5 million (individuals) or $25 million (entities) | Disgorgement, restitution, SEC bar, loss of professional licenses |
| NJ State Securities Fraud (N.J.S.A. 49:3-70) | Crime of the 2nd/3rd Degree | 5-10 years (2nd degree) or 3-5 years (3rd degree) | Up to $150,000 | Restitution, civil penalties, cease and desist orders |
Results may vary. Prior results do not aim for a similar outcome.
Our Experience in Financial Crime Defense
The Law Offices Of SRIS, P.C., founded in 1997, brings over 120 years of combined legal experience to every case. Our founder, Mr. Sris, is a former prosecutor with a background in accounting and information systems, which is particularly valuable in white-collar defense. We understand that a securities fraud accusation can threaten your liberty, livelihood, and reputation. Our approach involves a meticulous review of all financial communications, transactions, and disclosures to challenge the government’s evidence of fraudulent intent—a key element in every case.
Case Results and Client Advocacy
Our firm has a documented record of advocating for clients facing serious financial crime allegations. While every case is unique, our strategic focus on the government’s burden of proof and the specific intent element has been central to our defense work. We work to secure dismissals, negotiate favorable plea agreements to lesser charges, or present a compelling case at trial.
Results may vary. Prior results do not aim for a similar outcome.
Law Offices Of SRIS, P.C.
44 Apple St, 1st Floor
Tinton Falls, NJ 07724
Toll-Free: (888) 437-7747 | Local: (609)-983-0003 | Local: (732) 651-3900
By appointment only.
Our Tinton Falls location serves clients throughout New Jersey. We offer 24/7 phone consultations at (888) 437-7747, with meetings available by appointment only. If you are searching for a securities fraud attorney near Monmouth County or a white collar defense lawyer for federal court in Newark, we are accessible to you.
Frequently Asked Questions (Securities Fraud Defense)
What is the first step if I am under investigation for securities fraud?
The first step is to immediately retain a financial crime lawyer. Do not speak with investigators or provide documents without counsel. An attorney can communicate on your behalf, assess the scope of the investigation, and work to protect your rights from the outset.
Can I go to jail for securities fraud in New Jersey?
Yes. Securities fraud is a felony. Federal convictions can carry sentences up to 25 years per count, and New Jersey state charges can result in 3-10 years in prison, depending on the degree of the crime and the financial loss involved.
What’s the difference between an SEC investigation and a DOJ prosecution?
It depends. The SEC is a civil regulatory agency that can bring enforcement actions skilled to fines, disgorgement, and industry bars. The Department of Justice (DOJ) handles criminal prosecutions, which can lead to imprisonment. Often, these agencies investigate in parallel, and an SEC case can evolve into a criminal DOJ case.
What are common defenses to securities fraud charges?
Common defenses include lack of intent to defraud, good faith belief in the accuracy of statements, absence of material misrepresentation, and insufficient evidence of investor reliance on the alleged false information. A fraud charges defense often hinges on challenging the proof of deceptive intent.
Why do I need a New Jersey securities fraud lawyer for a federal case?
Federal securities fraud cases are typically tried in the U.S. District Court for the District of New Jersey. A local attorney with experience in that specific federal court understands the procedures, judges, and prosecutors, which is vital for building an effective defense strategy.
Attorney advertising. Prior results do not aim for a similar outcome.
Under N.J. Stat. § 14A:1-1, state law governs this practice area.