Insider Trading Lawyer New Jersey, NJ

Insider trading is a serious federal criminal charge prosecuted by the U.S. Attorney’s Office for the District of New Jersey. Under 15 U.S.C. § 78j(b) and SEC Rule 10b-5, buying or selling securities while in possession of material, non-public information carries a maximum penalty of 20 years in prison and a $5 million fine for individuals. Federal prosecutors in New Jersey bring these cases with the resources of the FBI and the Securities and Exchange Commission. If you or your organization is under investigation or has been charged with insider trading, early engagement of defense counsel can materially affect the outcome. Law Offices Of SRIS, P.C., founded in 1997, represents clients in federal criminal matters throughout New Jersey. Mr. Sris, a former prosecutor, and the firm’s Of Counsel attorneys bring extensive combined legal experience to insider trading defense. To request a consultation, call (888) 437-7747. Law Offices Of SRIS, P.C. – Advocacy Without Borders.

What Insider Trading Means in New Jersey

Federal insider trading cases in New Jersey are heard in the U.S. District Court for the District of New Jersey, with courthouses in Newark, Camden, and Trenton. The U.S. Attorney’s Office for the District of New Jersey handles all federal prosecutions in the state. Because insider trading is a federal crime, it is not filed in New Jersey state courts. Federal sentencing guidelines apply, and there is no parole in the federal system. Law Offices Of SRIS, P.C. has a New Jersey location in Tinton Falls and is equipped to represent clients across the state in federal insider trading matters.

The legal definition of insider trading centers on the misuse of confidential corporate information that would affect an investor’s decision to buy or sell a security. Common fact patterns include an executive, board member, or employee trading before a public announcement, or a “tippee” receiving and trading on that confidential information. The SEC often pursues civil enforcement alongside the Department of Justice’s criminal prosecution. The firm’s attorneys understand that insider trading investigations can extend over months and often involve parallel SEC and DOJ proceedings.

How Mr. Sris and the Firm’s Of Counsel Attorneys Handle Insider Trading Cases

Defending an insider trading charge requires a strategy informed by an understanding of both the criminal and regulatory aspects of securities law. Mr. Sris and the firm’s Of Counsel attorneys evaluate the government’s case from the earliest possible stage—often before an indictment is returned. Potential defense approaches include challenging whether the information at issue was truly material and non-public, whether the defendant acted with the required scienter (intent to defraud), and whether any trading pattern can be explained by innocent factors. The firm’s team works to preserve all available defenses while navigating the pre-trial motion practice and sentencing guidelines unique to the federal system.

The firm’s approach emphasizes thorough document review, careful reconstruction of trading timelines, and coordination with forensic accounting and securities attorneys when necessary. Because insider trading cases often turn on fine distinctions in corporate disclosure timelines, Mr. Sris and the firm’s Of Counsel attorneys focus on building a factual record that can support motions to dismiss or a favorable plea negotiation. Results may vary.

About Mr. Sris and the Firm’s Of Counsel Attorneys

Mr. Sris, Owner and Founder of Law Offices Of SRIS, P.C., is a former prosecutor who has practiced law since 1997. He is admitted in Virginia, Maryland, the District of Columbia, New Jersey, and New York. Mr. Sris testified before the Virginia House Courts of Justice Committee in support of 2019 HB 635 (chief patron Del. David Bulova). The firm’s Of Counsel attorneys bring extensive combined legal experience and concentrate in federal criminal defense, including insider trading and securities fraud. Together, Mr. Sris and the firm’s Of Counsel attorneys work to identify the strong $1 strategy for each client facing federal charges. Results may vary.

Law Offices Of SRIS, P.C. was founded in 1997. The firm’s New Jersey location is at 44 Apple St, 1st Floor, Tinton Falls, NJ 07724, with meetings available by appointment. Representation is available for clients in Hunterdon, Somerset, Morris, Bergen, Monmouth, and all other New Jersey counties. To schedule a consultation with Mr. Sris and the firm’s Of Counsel attorneys, call (888) 437-7747.

Frequently Asked Questions

What is insider trading under federal law?

Federal insider trading involves buying or selling a security while in possession of material, non-public information in violation of a duty of trust or confidence. The crime is prosecuted under Section 10(b) of the Securities Exchange Act of 1934 (15 U.S.C. § 78j(b)) and SEC Rule 10b-5. Both criminal and civil enforcement may apply. The U.S. Attorney’s Office for the District of New Jersey handles criminal prosecutions; the SEC handles civil penalty actions. Call Law Offices Of SRIS, P.C. at (888) 437-7747 to discuss your situation.

Do I need a lawyer if I am contacted by the FBI about insider trading in New Jersey?

Yes. You should contact a federal criminal defense lawyer immediately and not speak to law enforcement until you have counsel. Statements made to federal agents can be used in a criminal prosecution. Early engagement of an attorney can protect your rights during the investigative stage. Law Offices Of SRIS, P.C. represents individuals and companies under investigation for insider trading. To request a consultation, call (888) 437-7747.

What are the penalties for insider trading in New Jersey?

A conviction for federal insider trading can result in up to 20 years in prison and a fine of up to $5 million for an individual. The actual sentence is determined by the Federal Sentencing Guidelines, the defendant’s role, the amount of gain or loss, and any acceptance of responsibility. Additionally, the SEC may seek civil penalties. Contact Law Offices Of SRIS, P.C. at (888) 437-7747 for guidance on potential exposure in your case.

How does the firm defend against insider trading charges?

Defense strategies may include challenging whether the information was material and non-public, showing that no duty of confidentiality was breached, or demonstrating that the trades were made under a pre-existing trading plan. The firm’s attorneys review trading records, corporate communications, and any SEC filings to build a defense. For a consultation, reach Law Offices Of SRIS, P.C. at (888) 437-7747.

What should I do if I receive a subpoena or target letter in an insider trading investigation?

Do not ignore the subpoena. Contact a federal criminal attorney immediately and preserve all relevant documents. Destroying documents after receiving a subpoena can lead to obstruction charges. The firm’s attorneys can advise you on compliance while protecting your legal interests. To discuss your matter, contact Law Offices Of SRIS, P.C. at (888) 437-7747.

Can insider trading charges be dropped before trial?

It is possible for the government to dismiss charges, but such outcomes are not guaranteed and depend on the specific facts of the case. Strong defense work can sometimes persuade prosecutors that the evidence does not support the charge, experienced to a voluntary dismissal. Mr. Sris and the firm’s Of Counsel attorneys work to achieve favorable outcomes at every stage. For a consultation, call (888) 437-7747.

Last reviewed: July 2026

Attorney advertising. Prior results do not guarantee a similar outcome. Attorney responsible for this advertising: Mr. Sris.

Results may vary.

Case results depend on a variety of factors unique to each case.