Securities Fraud Lawyer in Roanoke County, VA — Federal Defense
Securities fraud in Roanoke County is a serious federal crime prosecuted under 18 U.S.C. § 1348, carrying severe penalties. As a securities fraud lawyer Roanoke County, Law Offices Of SRIS, P.C. provides defense against SEC investigations and criminal charges. Our team, led by former prosecutor Mr.
Federal Securities Fraud Law
Securities fraud involves deceptive practices in the stock or commodities markets, such as insider trading, Ponzi schemes, or misrepresenting financial information. These cases are prosecuted federally, often by the U.S. Attorney’s Office for the Western District of Virginia, which has jurisdiction over Roanoke County. The primary statute is 18 U.S.C. § 1348 (Securities Fraud), which carries penalties of up to 25 years in prison and significant fines. The SEC (Securities and Exchange Commission) conducts parallel civil investigations that can lead to criminal referrals.
Last verified: April 2026 | Western District of Virginia Federal Court | Virginia General Assembly
Official Legal Resources
For the official text of federal securities laws, visit the U.S. Code § 1348 (Cornell Legal Information Institute). For local federal court procedures in Roanoke, refer to the Western District of Virginia federal court website.
Handling a Federal Securities Fraud Case in Roanoke
Federal securities fraud cases in Roanoke County typically begin with an SEC investigation or a federal grand jury subpoena. The U.S. Attorney’s Office for the Western District of Virginia leads prosecutions. An experienced SEC violation lawyer Roanoke County can intervene during the investigative stage to potentially avoid criminal charges. The process is intricate, involving extensive document review, complex financial analysis, and motions challenging the government’s evidence.
- Initial Investigation: You may receive an SEC subpoena or be contacted by federal agents (FBI, IRS). Do not speak to investigators without your attorney present.
- Grand Jury Proceedings: The government presents evidence to a secret grand jury. A skilled investment fraud defense lawyer Roanoke County can present exculpatory evidence to the prosecutor to seek a dismissal before indictment.
- Arraignment & Plea: If indicted, you will be arraigned in federal court. Your attorney will negotiate with the Assistant U.S. Attorney, potentially seeking a favorable plea agreement to lesser charges.
- Pre-Trial Motions & Discovery: Your lawyer files motions to suppress evidence or dismiss charges. The government must provide all discovery, which can be voluminous in financial cases.
- Trial or Sentencing: If no plea is reached, the case proceeds to a jury trial in federal court. If convicted, sentencing follows federal guidelines, which are often severe for financial crimes.
Potential Penalties for Securities Fraud
In Roanoke County, securities fraud prosecuted under 18 U.S.C. § 1348 carries a maximum penalty of 25 years in federal prison and fines of up to $250,000 for individuals or $500,000 for organizations per count.
| Charge (Federal Statute) | Classification | Incarceration | Fine | Additional Consequences |
|---|---|---|---|---|
| Securities Fraud (18 U.S.C. § 1348) | Federal Felony | Up to 25 years | Up to $250,000 (individual) | SEC civil penalties, disgorgement, restitution, asset forfeiture, permanent loss of securities licenses. |
| Wire Fraud (18 U.S.C. § 1343) – often charged alongside | Federal Felony | Up to 20 years | Up to $250,000 | Similar severe collateral consequences. |
| Conspiracy to Commit Securities Fraud (18 U.S.C. § 371) | Federal Felony | Up to 5 years | Up to $250,000 | Holds all conspirators liable for acts of co-conspirators. |
Results may vary. Prior results do not guarantee a similar outcome.
Why Choose Our Firm for 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 complex federal defense. Our “Advocacy Without Borders” approach means we use a deep understanding of both federal criminal procedure and the intricate financial regulations enforced by the SEC. Mr. Sris’s background in accounting and information systems provides a distinct advantage in dissecting complex financial evidence, a critical skill for any effective securities fraud lawyer Roanoke County.
Bryan Block, Defense Attorney at Law Offices Of SRIS, P.C. — Licensed in VA. Former Virginia State Trooper (15 years). View Bryan Block’s Profile
Matthew Greene, Senior Defense Attorney at Law Offices Of SRIS, P.C. — Licensed in VA. 30+ years criminal defense. Death penalty certified (formerly). View Matthew Greene’s Profile
Case Results & Client Advocacy
While specific securities fraud results in Roanoke County are not publicly listed due to the sensitive nature of federal cases, our firm has a documented history of favorable outcomes in complex federal matters. We approach each case with a strategy focused on early intervention, rigorous investigation, and challenging the government’s evidence. For example, in other federal districts, our work has led to charges being dropped prior to indictment, favorable plea agreements to non-fraud offenses, and successful sentencing arguments that resulted in sentences below federal guidelines.
Results may vary. Prior results do not guarantee a similar outcome.
Securities Fraud Defense Near Roanoke County
Our Shenandoah/Woodstock location serves clients facing federal charges in Roanoke County. We are accessible to residents of Salem, Vinton, Cave Spring, Hollins, and Catawba. If you need a securities fraud lawyer near Roanoke County, contact us 24/7 for a phone consultation. Meetings are by appointment only.
Law Offices Of SRIS, P.C. — Shenandoah/Woodstock
505 N Main St #103, Woodstock, VA 22664
Toll-Free: (888) 437-7747
By appointment only.
Securities Fraud Defense FAQs
What is the first sign of an SEC investigation?
It depends. The first sign is often a formal subpoena from the SEC demanding documents and testimony. Sometimes, you may be contacted informally by SEC staff or learn of the investigation through your employer. Never respond without an experienced SEC violation lawyer Roanoke County.
Can I go to jail for securities fraud in Virginia?
Yes. Securities fraud is a federal felony under 18 U.S.C. § 1348, punishable by up to 25 years in federal prison. The actual sentence depends on the loss amount, number of victims, your role, and your criminal history under the Federal Sentencing Guidelines.
What’s the difference between an SEC investigation and a criminal case?
The SEC conducts civil investigations to enforce securities laws, which can result in fines, disgorgement, and industry bars. A criminal case is brought by the U.S. Department of Justice and can lead to prison. These often run in parallel. An investment fraud defense lawyer Roanoke County can represent you in both proceedings.
What should I do if I’m contacted by the FBI about investment fraud?
Politely decline to answer questions and state you wish to speak with your attorney. The FBI is building a criminal case. Anything you say can be used against you. Immediately contact a securities fraud lawyer Roanoke County who handles federal cases.
How long does a federal securities fraud case take?
From investigation to resolution, a case can take 1 to 3 years or more. The Speedy Trial Act requires trial within 70 days of indictment, but complex financial cases often have many excludable delays for motions and discovery review.