David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you’re under an insider trading investigation in Fort Lauderdale, the stakes are high. The U.S. Securities and Exchange Commission (SEC), often working alongside the Department of Justice (DOJ), aggressively investigates insider trading allegations using sophisticated surveillance tools, data analysis, and substantial enforcement resources. These cases are serious and complex and thus demand representation by experienced securities fraud defense counsel from the very start.
David R. Chase, Esq., a former SEC enforcement attorney and nationally recognized SEC defense attorney, offers creative, strategic defense to individuals accused of insider trading. Based in Fort Lauderdale, Mr. Chase brings both local accessibility and national reach to the table. He represents clients throughout the United States and has spent decades helping securities professionals, executives, and investors defend their rights in the face of SEC scrutiny.
Insider trading occurs when a person buys or sells securities based on material, nonpublic information (MNPI) that was obtained in violation of a fiduciary duty or a relationship of trust and confidence. While many associate insider trading with corporate executives, anyone who receives confidential information and acts on it in breach of a duty may be held liable under the federal securities laws.
Involves a corporate insider (such as a director, officer, or employee) trading company securities based on MNPI or tipping someone else who then trades. Both parties may face enforcement action if the tippee knew or should have known the information was improperly disclosed.
This takes place when an individual who is not an insider, such as an advisor, attorney, or consultant, impermissibly uses confidential information obtained through their work to trade for personal gain.
Insider trading violations, which violate the anti-fraud provisions of the federal securities laws, can result in both civil enforcement by the SEC and criminal prosecution by the Department of Justice (DOJ), with potential consequences including:
Fort Lauderdale is a growing financial and business hub in South Florida. Known for its vibrant real estate, healthcare, technology, and investment communities, the city attracts high-level corporate activity and investment across multiple industries. With its proximity to Miami’s financial district and position as a regional center for wealth management and international business, Fort Lauderdale is often in the SEC’s enforcement cross-hairs.
Publicly traded companies, investment advisors, hedge funds, and high-net-worth individuals all operate throughout Broward County, increasing the flow of material nonpublic information and opportunities for misuse. The SEC closely monitors trading activity tied to Fort Lauderdale businesses and professionals, using whistleblower tips, trading data, and regulatory cooperation to identify suspicious behavior and launch non-public investigations.
If you are contacted by the SEC or served with a SEC subpoena, chances are the SEC has already gathered a significant amount of evidence in its investigation. Promptly securing experienced and knowledgeable legal representation is crucial.
Insider trading cases require more than basic legal knowledge. They involve complex securities regulations, federal enforcement strategies, and detailed financial investigations. David R. Chase offers clients the benefit of his insider knowledge and deep experience in securities laws.
If you’ve received an SEC subpoena, a Wells Notice, or believe you may be under SEC investigation for insider trading, do not speak with SEC staff or produce documents without first consulting with a qualified Fort Lauderdale insider trading lawyer. Even well-intended responses made without counsel can have irreparable, damaging consequences.
David Chase will:
Early intervention by an experienced attorney can make a significant difference in the outcome of your case.
If you’re facing insider trading allegations or have received an SEC subpoena in Fort Lauderdale, now is the time to act. A seasoned SEC defense attorney like David R. Chase can guide you through the investigation and protect your vital financial, personal and professional interests.
Call David R. Chase, Esq. at 800-760-0912 today for a confidential consultation. You can also visit www.securitiesfrauddefense.net to learn more about his background, successful case results, and insider trading.
