Securities Fraud Lawyer in Ocean County, NJ — What Are Your Defense Options?
Securities fraud in Ocean County is a serious federal offense under 18 U.S.C. § 1348, carrying penalties of up to 25 years imprisonment and millions in fines. Law Offices Of SRIS, P.C. provides defense for individuals and entities facing SEC investigations, FINRA enforcement, and criminal charges. Our firm-wide experience includes 4,739+ documented case results.
Last verified: April 2026 | Superior Court of NJ, Ocean Vicinage | New Jersey Legislature
Understanding Securities Fraud Charges in New Jersey
Securities fraud, often called 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 New Jersey, these cases are typically prosecuted federally by the U.S. Attorney’s Office for the District of New Jersey, often in conjunction with the Securities and Exchange Commission (SEC). The primary statute is 18 U.S.C. § 1348 (Securities Fraud), which carries severe penalties. A securities fraud lawyer Ocean County can explain that charges may also arise under the Securities Exchange Act of 1934 and involve allegations of insider trading, Ponzi schemes, or market manipulation.
Official Legal Resources
For the official text of federal securities laws, visit the U.S. Code § 1348 (Cornell Law). For New Jersey court procedures, refer to the Superior Court of NJ, Ocean Vicinage website.
Local Procedure for Securities Fraud Cases in Ocean County
Federal securities fraud cases originating in Ocean County are investigated by agencies like the FBI, SEC, or FINRA. The case is presented to a federal grand jury, often in Newark or Camden. If indicted, the case proceeds in the U.S. District Court for the District of New Jersey. An experienced investment fraud defense lawyer Ocean County knows that early intervention during the investigation phase is critical. The procedural steps differ significantly from state court, involving complex discovery, motions practice, and often parallel civil SEC proceedings.
- Receive a subpoena or target letter from the SEC, FBI, or a grand jury.
- Immediately retain a federal criminal defense attorney with securities experience.
- Negotiate the terms of your cooperation or interview with investigators.
- Challenge the indictment or negotiate a pre-trial resolution, potentially involving deferred prosecution.
Potential Penalties for Securities Fraud
In Ocean County, securities fraud prosecuted federally carries a maximum of 25 years in prison per count and fines of up to $5 million for individuals or $25 million for organizations, plus mandatory restitution.
| Offense | Classification | Incarceration | Fine | Additional Consequences |
|---|---|---|---|---|
| Securities Fraud (18 U.S.C. § 1348) | Federal Felony | Up to 25 years | Up to $5M (Individual) | Restitution, Asset Forfeiture, SEC Bar |
| Wire Fraud (18 U.S.C. § 1343) | Federal Felony | Up to 20 years | Up to $250,000 | Often charged alongside securities fraud |
| SEC Civil Action | Administrative | N/A | Disgorgement + Penalties | Industry Bar, Injunctions |
Results may vary. Prior results do not guarantee a similar outcome.
Why Choose Our Firm for Your Securities Fraud Defense
Founded in 1997, Law Offices Of SRIS, P.C. is built on a foundation of former prosecutorial insight. Our managing attorney, Mr. Sris, brings a strategic understanding of how government agencies build complex financial fraud cases. With a firm-wide record of 4,739+ documented case results and a collaborative approach, we prepare every defense with the rigor required for federal court. Our tagline, “Advocacy Without Borders,” reflects our commitment to defending clients across jurisdictions, including the serious federal charges faced in Ocean County.
Case Results and Client Advocacy
While specific case results are confidential, our firm-wide experience includes defending against federal fraud allegations. We approach each securities fraud defense by meticulously analyzing the evidence, challenging the prosecution’s theory, and exploring all procedural options. Our secondary attorney, Kristen M. Fisher, a former Maryland Assistant State’s Attorney, contributes significant litigation experience to our defense team. We have a documented history of achieving favorable outcomes through negotiation, motion practice, and trial advocacy.
Results may vary. Prior results do not guarantee a similar outcome.
Contact Our Ocean County Securities Fraud Lawyers
Our New Jersey location serves clients throughout Ocean County. We are accessible from Toms River, Lakewood, Brick Township, and surrounding communities via the Garden State Parkway and Routes 37, 9, 70, and 72. We are your local securities fraud lawyer near Ocean County Courthouse.
Law Offices Of SRIS, P.C. — New Jersey
44 Apple St, 1st Floor
Tinton Falls, NJ 07724
Toll-Free: (888) 437-7747 | Local: (609)-983-0003
By appointment only. 24/7 phone consultations.
Frequently Asked Questions: Securities Fraud in Ocean County
What does an SEC violation lawyer in Ocean County do?
An SEC violation lawyer Ocean County represents clients facing investigations or enforcement actions by the Securities and Exchange Commission. This includes responding to subpoenas, negotiating settlements, defending against civil injunctions, and handling parallel criminal proceedings to protect your rights and assets.
Can I go to jail for securities fraud in New Jersey?
Yes. Securities fraud is a federal felony. If convicted under 18 U.S.C. § 1348, you face a maximum prison sentence of 25 years per count, plus substantial fines. The exact penalty depends on the financial loss caused and your criminal history.
What is the difference between an SEC investigation and a criminal case?
It depends. An SEC investigation is civil or administrative, aiming for penalties, disgorgement of profits, and industry bars. A criminal case, led by the DOJ, seeks imprisonment. They often run in parallel. Information shared in an SEC probe can be used criminally, so you need a lawyer who handles both.
What are common examples of investment fraud?
Common examples include Ponzi schemes, insider trading (trading on non-public information), market manipulation (like “pump and dump” schemes), making false statements in SEC filings, and broker misconduct such as unauthorized trading or churning accounts to generate commissions.
Should I speak to the SEC or FBI if they contact me?
No. You should not speak to any investigator without an attorney present. Politely decline to answer questions and state you will have your lawyer contact them. Anything you say can be used against you in both civil and criminal proceedings.
Internal Resources
For more information, visit our New Jersey Federal Criminal Defense hub page. We also assist with related matters in Ocean County, such as business law and civil litigation. For defense in nearby counties, see our pages for Atlantic County and Bergen County.
Last verified: April 2026. Laws change — contact Law Offices Of SRIS, P.C. at (888) 437-7747 for current guidance.
Attorney responsible for this advertisement: Mr. Sris, Law Offices Of SRIS, P.C., 44 Apple St 1st Floor, Tinton Falls, NJ 07724.