Bergen County Stock Fraud Lawyer — What Are Your Defense Options?
Stock fraud charges in Bergen County, New Jersey, are prosecuted aggressively under both state and federal law, including N.J.S.A. 49:3-70 and federal securities statutes. A conviction can lead to decades in prison, massive fines, and permanent loss of professional licenses. The Law Offices Of SRIS, P.C.
Understanding Stock Fraud Charges in New Jersey
Stock fraud, often called securities fraud, involves deceptive practices in the stock or commodities markets that induce investors to make purchase or sale decisions based on false information. In New Jersey, the primary statute governing these offenses is the New Jersey Uniform Securities Law (N.J.S.A. 49:3-47 et seq.). The law prohibits fraud, deceit, and material misrepresentations or omissions in connection with the offer, sale, or purchase of any security.
Last verified: April 2026 | Bergen County Superior Court | New Jersey Legislature
Founded in 1997, our firm brings extensive experience in complex financial crime defense. Mr. Sris, a former prosecutor, founded the firm with a commitment to rigorous, client-focused advocacy.
Official Legal Resources
For the official text of New Jersey’s securities laws, refer to the New Jersey Legislature’s website (N.J.S.A. 49:3-70). For information on court procedures in Bergen County, visit the New Jersey Courts website for the Superior Court, Civil Division, which handles complex commercial and securities litigation.
Local Court Procedures and Defense Strategy
Stock fraud cases in Bergen County can originate from investigations by the New Jersey Bureau of Securities (NJBSC), the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). These agencies often work in parallel with the Bergen County Prosecutor’s Office or the U.S. Attorney’s Office for the District of New Jersey. Cases may be filed in the Bergen County Superior Court (Law Division) for state charges or the U.S. District Court for the District of New Jersey in Newark for federal charges.
- Initial Investigation: You may receive a subpoena, a Wells Notice from the SEC, or a request for an on-the-record interview from FINRA.
- Regulatory Action: The agency may file an administrative proceeding seeking civil penalties, disgorgement, and industry bars.
- Criminal Referral: If evidence suggests willful intent, the case can be referred for criminal prosecution.
- Indictment & Arraignment: A grand jury may issue an indictment, followed by an arraignment where you enter a plea.
- Pre-Trial Motions & Discovery: Your defense attorney will file motions to challenge evidence and obtain all discovery from the prosecution.
- Trial or Resolution: The case may proceed to trial or be resolved through a negotiated plea agreement.
Potential Penalties for Securities Fraud
In Bergen County, stock fraud is treated as a serious crime, with penalties varying based on whether the charge is brought under state or federal law and the amount of monetary loss involved.
| Charge Level | Classification | Incarceration | Fines | Additional Consequences |
|---|---|---|---|---|
| State Crime (2nd Degree) | 2nd Degree Crime | 5-10 years | Up to $150,000 | Restitution, forfeiture, permanent securities industry bar. |
| Federal Crime (Wire/Securities Fraud) | Felony | Up to 20+ years | Up to $5 million (individuals) / $25 million (entities) | SEC civil penalties, disgorgement, loss of professional licenses. |
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. was founded in 1997. Our attorneys have a combined 120+ years of legal experience handling complex white-collar and financial crime cases. We understand the technical details of financial transactions, market regulations, and the strategies used by both state and federal prosecutors. Our approach is to build a defense that challenges the prosecution’s evidence on intent, materiality, and reliance.
Documented Case Results
Our firm has a documented record of favorable outcomes in complex criminal cases. While every case is unique, our strategic approach focuses on meticulous investigation, challenging the government’s evidence, and protecting our clients’ rights at every stage. Results may vary. Prior results do not aim for a similar outcome.
Local Service for Bergen County Residents
Law Offices Of SRIS, P.C.
By appointment only.
Toll-Free: (888) 437-7747 | Local: (609)-983-0003
24/7 phone consultations — meetings by appointment only.
If you are under investigation or have been charged with stock fraud, insider trading, or other securities violations, you need a fraud charge defense lawyer Bergen County who understands both the law and the local legal field. Contact us immediately to discuss your case.
Frequently Asked Questions (Stock Fraud Defense)
What is the difference between civil and criminal stock fraud?
Yes, there is a major difference. Civil stock fraud typically involves lawsuits or SEC actions seeking monetary penalties and injunctions. Criminal stock fraud involves the government prosecuting you for a crime, which can result in prison time. The same conduct can lead to both civil and criminal proceedings.
Can I be charged in both state and federal court for the same stock fraud?
It depends. Under the doctrine of “dual sovereignty,” both state and federal governments can prosecute you for the same conduct if it violates laws of each sovereign. This means you could face separate trials and penalties from New Jersey and the U.S. Department of Justice.
What should I do if I receive a subpoena or Wells Notice?
Do not respond without an attorney. Contact a white collar crime defense lawyer Bergen County immediately. These documents signal a serious investigation. Your response can be used against you, and an attorney can help you handle the process, potentially limiting exposure.
What are common defenses to stock fraud charges?
Common defenses include lack of intent to defraud (mistake or negligence), the information was not material, the investor did not rely on the misstatement, or entrapment. A strong defense requires a detailed analysis of financial records, communications, and market data.
How long does a stock fraud investigation take?
Investigations can last from several months to multiple years. Regulatory investigations (SEC, FINRA) often precede criminal ones. The timeline depends on the complexity of the case, the amount of evidence, and whether you are cooperating with authorities.
Internal Resources: For related legal issues, see our pages on Federal Criminal Defense in New Jersey and New Jersey Business Law. For an overview of our practice, visit our New Jersey Criminal Defense hub.
Last verified: April 2026. Information current as of this date. Laws change — contact Law Offices Of SRIS, P.C. at (888) 437-7747 for current guidance.
Under Va. Code § 13.1-1000 et seq., state law governs this practice area.