Securities Fraud Lawyer Henrico County — Federal Defense Strategy
Securities fraud in Henrico County is prosecuted federally under 15 U.S.C. § 78j(b) and 17 C.F.R. § 240.10b-5, carrying severe penalties. As a Securities Fraud lawyer Henrico County, Law Offices Of SRIS, P.C. provides defense against SEC investigations and criminal charges. Our Richmond location serves clients throughout the county. Contact us 24/7 at (888) 437-7747 for a consultation by appointment.
Last verified: April 2026 | Federal District Court for the Eastern District of Virginia | U.S. Securities and Exchange Commission
Federal Securities Fraud Law
Securities fraud involves deceptive practices in the stock or commodities markets that induce investors to make purchase or sale decisions based on false information. The primary statutes are the Securities Exchange Act of 1934 and the Securities Act of 1933. In Henrico County, these cases are typically investigated by the SEC and prosecuted by the U.S. Attorney’s Office for the Eastern District of Virginia. The legal framework is complex, intertwining federal regulations with potential parallel state actions.
For official federal statutes, refer to the U.S. Code § 78j (Securities Exchange Act) and the SEC’s overview of federal securities laws.
Local Federal Court Process for Securities Cases
Securities fraud cases in Henrico County fall under the jurisdiction of the U.S. District Court for the Eastern District of Virginia, Richmond Division. The process often begins with a civil investigation by the SEC, which can lead to a parallel criminal referral to the Department of Justice. An experienced SEC violation lawyer Henrico County understands that early intervention during the investigative stage is critical. The procedural steps are distinct from state court and involve extensive document production, grand jury proceedings, and complex motion practice.
- SEC or DOJ Investigation: Receive a subpoena, Wells notice, or target letter. Do not respond without counsel.
- Grand Jury Proceedings: If criminally charged, an indictment is typically secured through a federal grand jury.
- Arraignment & Initial Appearance: Defendant appears in federal court to hear charges and enter a plea.
- Discovery & Motions: Extensive document review and pre-trial motions to challenge evidence or dismiss charges.
- Plea Negotiations or Trial: Engage with prosecutors for a potential resolution or prepare for a federal jury trial.
- Sentencing: If convicted, sentencing follows the U.S. Sentencing Guidelines, which can mandate significant prison terms.
Potential Penalties for Securities Fraud
In federal court, securities fraud convictions carry severe penalties including lengthy prison sentences, multimillion-dollar fines, disgorgement, and permanent bars from serving as a corporate officer or director.
| Charge | Classification | Incarceration | Fines | Additional Consequences |
|---|---|---|---|---|
| Securities Fraud (15 U.S.C. § 78j) | Federal Felony | Up to 25 years | Up to $5 million (individual) / $25 million (entity) | Disgorgement, restitution, officer/director bar |
| Wire Fraud (18 U.S.C. § 1343) | Federal Felony | Up to 20 years | Up to $250,000 (individual) / $500,000 (entity) | Often charged alongside securities fraud |
| Conspiracy to Commit Securities Fraud | 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.
Firm Experience in Federal Defense
Law Offices Of SRIS, P.C. was founded in 1997 by former prosecutor Mr. Sris. Our firm brings a combined 120+ years of legal experience to complex federal matters. Mr. Sris, with his background in accounting and information systems, provides a distinct advantage in dissecting the financial and technical evidence central to securities fraud cases. We approach each case with a collaborative model, ensuring clients benefit from multiple perspectives and deep institutional knowledge.
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
Case Results & Approach
While every case is unique, our firm-wide record includes over 4,739 case results with a favorable outcome rate exceeding 93%. In federal cases, our strategy focuses on early case assessment, challenging the government’s evidence on technical and legal grounds, and exploring all avenues for pre-trial resolution. We have successfully defended clients facing investigations by the SEC, FBI, and other federal agencies.
Results may vary. Prior results do not guarantee a similar outcome.
Secondary attorney Matthew Greene, with over 30 years of experience including former death penalty certification and a 14-year contract with Child Protective Services in Alexandria, contributes significant trial and complex case management experience to the defense team.
Securities Fraud Defense Serving Henrico County
Our Richmond location represents clients in Henrico County facing federal securities fraud charges. We serve communities including Glen Allen, Short Pump, Innsbrook, Tuckahoe, and Highland Springs.
Law Offices Of SRIS, P.C. — Richmond
7400 Beaufont Springs Dr Suite 300 Room 359, Richmond, VA 23225
Toll-Free: (888) 437-7747 | Local: (804)201-9009
By appointment only. 24/7 phone consultations.
Securities Fraud Lawyer Henrico County FAQ
What is the most common type of securities fraud?
Yes. The most common is insider trading (trading based on material non-public information), followed by misrepresentation or omission of facts in financial statements (accounting fraud) and Ponzi schemes. All are prosecuted under federal law.
Can I be sued by the SEC and criminally charged?
Yes. The SEC can bring a civil enforcement action seeking monetary penalties and injunctions, while the DOJ can pursue parallel criminal charges for the same conduct. This is why securing an investment fraud defense lawyer Henrico County at the first sign of investigation is critical.
What should I do if I receive an SEC subpoena?
It depends. Do not destroy any documents or discuss the matter with colleagues without legal advice. Immediately contact a qualified SEC violation lawyer Henrico County. An attorney can negotiate the scope of the subpoena, guide your response, and represent you in any testimony to minimize self-incrimination risks.
What are the defenses to securities fraud charges?
Common defenses include lack of intent to defraud (scienter), the information was not material, the defendant did not possess non-public information, or reliance on advice of counsel. A skilled attorney will analyze the specific facts and applicable law to build the strongest defense strategy.
How long does a federal securities fraud case take?
It varies. An SEC civil investigation can last 1-3 years. A criminal case in the Eastern District of Virginia’s “Rocket Docket” can proceed from indictment to trial in under a year, though complex cases may take longer. Timelines are heavily influenced by the evidence volume and litigation strategy.
Related Practice Areas: If you are facing other federal charges, explore our pages for Federal Criminal Lawyer Henrico County and Business Lawyer Henrico County.
More Virginia Help: For a broader view of our services, visit our Virginia Federal Criminal Defense hub page. We also assist clients in neighboring areas like Albemarle County and Alexandria.
Page last verified: 2026-04. Laws change. Contact Law Offices Of SRIS, P.C. for current guidance.