Securities Fraud Lawyer in Mercer County, NJ — What Are Your Defense Options?

Securities fraud in Mercer County is a serious federal offense under 18 U.S.C. § 1348, carrying penalties of up to 25 years in prison and millions in fines. Law Offices Of SRIS, P.C. provides defense for individuals and professionals facing SEC investigations and investment fraud charges. Our firm, founded in 1997, has a documented record of handling contested financial cases.

Last verified: April 2026 | U.S. District Court for the District of New Jersey | New Jersey Legislature

Understanding Securities Fraud Charges in New Jersey

Securities fraud, often referred to as stock or investment fraud, involves deceptive practices in the stock or commodities markets that induce investors to make purchase or sale decisions based on false information. In Mercer County, these cases are typically prosecuted federally 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 is part of the broader Sarbanes-Oxley Act. This statute makes it a crime to execute a scheme to defraud any person in connection with any security of a publicly traded company or to obtain money or property by means of false pretenses concerning such a security. Violations can also fall under the Securities Exchange Act of 1934 and rules enforced by the Securities and Exchange Commission (SEC).

Mr. Sris, the managing attorney, brings a background in accounting and information systems to these contested financial cases, providing a critical advantage in dissecting evidence and building a defense.

Official Legal Resources

For the full text of the federal securities fraud statute, visit the official U.S. Code at 18 U.S.C. § 1348. For local court procedures and rules, refer to the U.S. District Court for the District of New Jersey website.

handling a Federal Securities Fraud Case in Mercer County

Federal securities fraud cases in Mercer County often begin with a lengthy investigation by the SEC, FBI, or IRS. These agencies have significant resources and can issue subpoenas for documents and testimony. A key local procedural fact is that the U.S. District Court in Newark or Trenton handles these cases. The discovery process is vast, often involving millions of documents, emails, and financial records. An experienced SEC violation lawyer Mercer County can challenge the sufficiency of the evidence, argue against the intent to defraud, and negotiate with prosecutors for a favorable resolution, such as a deferred prosecution agreement.

1. Initial Investigation: You may receive an SEC subpoena or be contacted by federal agents. Do not speak to investigators without your attorney present.
2. Case Assessment: Your legal team will analyze the allegations, review all documents, and identify potential defenses or weaknesses in the government’s case.
3. Grand Jury & Indictment: If the case proceeds criminally, a federal grand jury in Newark or Trenton will review evidence and may issue an indictment.
4. Arraignment & Plea: You will be formally charged and enter a plea. Your attorney will engage in plea negotiations if it is in your best interest.
5. Pre-Trial Motions & Discovery: Your defense will file motions to suppress evidence or dismiss charges and thoroughly review the government’s evidence.
6. Trial or Sentencing: If no plea agreement is reached, the case proceeds to a jury trial. If convicted, sentencing follows federal guidelines.

Potential Penalties for Securities Fraud

In Mercer County, federal securities fraud convictions carry severe penalties, including lengthy prison terms, massive fines, restitution, and forfeiture of assets.

Results may vary. Prior results do not guarantee a similar outcome.

Why Choose Our Firm for Your Securities Fraud 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 tagline, “Advocacy Without Borders,” reflects our commitment to vigorous defense. We understand the high-stakes nature of federal financial crimes and the significant impact they have on your reputation, livelihood, and freedom. Our team is skilled at handling the intense pressure and the issues involved of SEC and DOJ investigations.

Documented Case Results

While specific securities fraud results are confidential, our firm-wide track record demonstrates our capability in high-stakes defense. Law Offices Of SRIS, P.C. has handled 4,739+ documented case results with a favorable outcome rate of over 93%. This includes successful resolutions in federal matters. Our investment fraud defense lawyer Mercer County team is prepared to apply this depth of experience to your case.

Results may vary. Prior results do not guarantee a similar outcome.

Our New Jersey location serves clients at federal courts in Mercer County. We are accessible via I-95, the NJ Turnpike, and Route 1. As your nearby securities fraud lawyer near Trenton, we serve Princeton, Hamilton Township, Ewing, Lawrence, West Windsor, and surrounding communities. 24/7 phone consultations are available at (888) 437-7747 — meetings are by appointment only.

Securities Fraud Defense FAQs

Related Legal Resources

If you are facing related charges, our firm also handles federal criminal defense in Mercer County. For a broader view of our practice, visit our New Jersey Federal Criminal Defense hub. We also assist clients in nearby jurisdictions like Bergen County.

Attorney advertising. Prior results do not guarantee a similar outcome. Last verified: April 2026.