Securities Fraud Lawyer Somerset County — What Are Your Defense Options?
Securities fraud in Somerset County is a serious federal offense under 18 U.S.C. § 1348, carrying penalties of up to 25 years imprisonment and millions in fines. The Law Offices Of SRIS, P.C. provides defense for individuals and professionals facing SEC investigations and criminal charges. Our firm-wide experience includes 4,739+ documented case results.
Last verified: April 2026 | Superior Court of NJ, Somerset Vicinage | New Jersey Legislature
Understanding Securities Fraud Charges in New Jersey
Securities fraud, often prosecuted federally in the District of New Jersey, involves deceptive practices in connection with the sale or purchase of securities. This can include insider trading, Ponzi schemes, misrepresentation of financial statements, and market manipulation. The primary statutes are 18 U.S.C. § 1348 (Securities Fraud) and 15 U.S.C. § 78j (Rule 10b-5 under the Securities Exchange Act). Cases are typically investigated by the SEC and the FBI, with indictments brought by the U.S. Attorney’s Office for the District of New Jersey. The complexity of these cases requires an attorney with a deep understanding of both federal criminal procedure and financial regulations.
Official Legal Resources
For the official text of federal securities laws, visit the U.S. Code for Securities Fraud (18 U.S.C. § 1348). For local court procedures, refer to the Superior Court of NJ, Somerset Vicinage website.
Local Process for Federal Securities Cases in Somerset County
Federal securities fraud cases originating in Somerset County are prosecuted in the U.S. District Court for the District of New Jersey. The process is distinct from state court. An SEC violation lawyer Somerset County from our firm can explain that investigations often begin with SEC subpoenas or FBI interviews, long before any public charges are filed. The key is early intervention.
- Receive a subpoena or target letter from the SEC, FBI, or USAO.
- Immediately secure legal representation to assess exposure and strategy.
- Negotiate the scope of document production and potential witness interviews.
- Respond to a grand jury subpoena or indictment if the case proceeds criminally.
- Engage in pre-trial motions, discovery, and potential plea negotiations.
- Proceed to trial in U.S. District Court or seek a favorable pre-trial resolution.
Potential Penalties for Securities Fraud
In Somerset County, federal securities fraud carries severe penalties including decades in prison, multimillion-dollar fines, disgorgement, and permanent loss of professional licenses.
| Charge | Classification | Incarceration | Fine | License Impact | Additional Consequences |
|---|---|---|---|---|---|
| Securities Fraud (18 U.S.C. § 1348) | Federal Felony | Up to 25 years | Up to $5,000,000 (individual) / $25,000,000 (entity) | Permanent SEC bar, loss of FINRA registration | Asset forfeiture, restitution to victims, probation |
| Wire Fraud (18 U.S.C. § 1343) – often charged concurrently | Federal Felony | Up to 20 years | Up to $250,000 | N/A | Restitution, forfeiture |
Results may vary. Prior results do not aim for a similar outcome.
Why Choose Our Firm for Your Securities Fraud Defense
Founded in 1997 by former prosecutor Mr. Sris, the Law Offices Of SRIS, P.C. brings over 120 years of combined legal experience to complex federal defense. Our background in accounting and information systems provides a distinct advantage in dissecting complex financial evidence and transactions at the heart of securities fraud cases. We approach each case with a collaborative strategy, leveraging the deep experience of our entire team.
Case Results and Client Advocacy
While specific results in Somerset County securities fraud cases are confidential, our firm-wide record demonstrates our commitment to vigorous defense. SRIS, P.C. has handled 4,739+ documented case results across all practice areas with a 93%+ favorable outcome rate. In federal cases, our goals include seeking dismissal of charges, negotiating reduced charges, or mitigating sentencing exposure under the U.S. Sentencing Guidelines.
Results may vary. Prior results do not aim for a similar outcome.
Securities Fraud Defense Near Somerset County, NJ
Our New Jersey location serves clients facing federal charges in Somerset County. We represent individuals in Somerville, Bridgewater, Franklin Township, and surrounding communities. For a confidential discussion about an SEC investigation or federal indictment, contact an investment fraud defense lawyer Somerset County today.
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) 455-5120
By appointment only.
Availability: 24/7 phone consultations — (888) 437-7747 — meetings by appointment only.
Frequently Asked Questions
What is the first step if I am under SEC investigation in New Jersey?
It depends. The first step is to immediately retain an experienced SEC violation lawyer Somerset County. Do not speak to investigators or produce documents without legal counsel. Your attorney will contact the SEC or USAO to understand the scope and negotiate your cooperation under protections that safeguard your rights.
Can I go to jail for securities fraud in New Jersey?
Yes. Securities fraud under 18 U.S.C. § 1348 is a federal felony punishable by up to 25 years in prison. Actual sentences depend on the loss amount, number of victims, your role, and acceptance of responsibility. An experienced defense attorney works to avoid incarceration or reduce the sentence.
What is the difference between an SEC investigation and a criminal case?
The SEC is a civil regulatory agency that can bring enforcement actions skilled to fines, disgorgement, and industry bars. A criminal case is brought by the U.S. Department of Justice and can result in prison. The SEC often refers cases to the DOJ for criminal prosecution. Having a lawyer who understands both arenas is critical.
What defenses are available against securities fraud charges?
Common defenses include lack of intent to defraud, good faith reliance on professional advice, materiality challenges, and statute of limitations. Your investment fraud defense lawyer Somerset County will analyze the evidence, including complex financial records, to identify weaknesses in the government’s case.
Last verified: April 2026. Laws change — contact Law Offices Of SRIS, P.C. at (888) 437-7747 for current guidance.