Miami Insider Trading Lawyer

Under SEC Investigation for Insider Trading?
What You Need to Know

Call Us Now: 800-760-0912

If you are under investigation by the Securities and Exchange Commission (SEC) for insider trading in Miami, your financial future and liberty could be at serious risk. The SEC has historically aggressively pursued insider trading cases, often working with the Department of Justice (DOJ) to pursue civil and criminal actions, often simultaneously. These securities fraud investigations are complex and high-stakes — making experienced legal representation absolutely essential.

David R. Chase, Esq., a nationally known SEC defense attorney, provides strategic and vigorous representation for clients under investigation for insider trading. A former Senior Counsel in the SEC’s Enforcement Division, Mr. Chase understands the internal workings of SEC investigations and how to effectively analyze and beat them. Although based in South Florida, Mr. Chase represents clients throughout the country, including those facing scrutiny in Miami’s financial and business sectors.

What Is Insider Trading?

Insider trading takes place where an individual buys or sells securities while in possession of material, nonpublic information (MNPI), in violation of a duty of trust or confidence. Quite often, these matters involve corporate insiders (executives, directors, or employees), but can also include anyone who receives confidential information and uses it to gain an unfair market advantage in breach of a duty.

There are two recognized theories of insider trading:

Classical Insider Trading

This is seen where a corporate insider trades his company’s stock based on MNPI. If that insider (the “tipper”) shares the information with another (the “tippee”) who then trades on it, both individuals may face liability if the tippee knew or should have known the information was improperly disclosed.

Misappropriation Theory

This takes place when someone who is lawfully entrusted with confidential information— like a lawyer, accountant, or consultant —misuses it for personal trading purposes in breach of a confidentiality obligation.

Penalties for insider trading can be harsh and may include:

A large civil monetary penalty

Disgorgement of profits made or losses avoided

Bans from serving as a public company officer or director, and/or

Criminal prosecution and prison time

Why the SEC Targets Insider Trading in Miami

As a rapidly emerging financial hub, Miami is home to investment firms, wealth management companies, real estate funds, and international financial operations. Its dynamic economy and proximity to Latin American markets make it a key area of focus for the SEC’s enforcement efforts. In fact, the SEC has a large office located in Miami.

Due to sophisticated data analytics and a robust whistleblower program, the SEC initiates investigations without advance notice. If you receive a subpoena or contact from SEC enforcement staff, they may already have assembled significant evidence against you.

The Importance of Hiring a Skilled SEC Defense Attorney

When facing an SEC or DOJ investigation for insider trading, the attorney you choose can make all the difference. You need a lawyer with deep experience in securities law and SEC institutional knowledge. That’s the perspective that David R. Chase brings to your defense.

Why Work with David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase previously served in the SEC’s Enforcement Division, where he led investigations into securities fraud and insider trading. He knows how these cases are built—and thus how to dismantle them.

Dedicated SEC Defense Practice

After leaving the SEC, Mr. Chase has focused his legal career on representing individuals and entities targeted by the SEC and other financial regulators. Insider trading defense is a cornerstone of his national practice.

South Florida-Based, National Reach

Based in the Miami area, David Chase represents clients throughout Florida and across the U.S. in securities enforcement matters, including SEC subpoenas, Wells Notices, and settlement negotiations.

Tailored Legal Strategy

Every case at David R. Chase, P.A. is personally handled by Mr. Chase, who crafts a strategic defense designed to protect your rights, professional reputation, and financial future.

What to Do If You’re Under Investigation for Insider Trading

If you’ve received an SEC subpoena or suspect you’re being investigated for insider trading, do not wait or succumb to paralysis. Speaking with SEC lawyers, or responding to a SEC Subpoena, without a lawyer can lead to costly missteps or admissions that may be used against you and cannot be undone.

David Chase will:

Explain your rights and obligations under the securities laws
Serve as your direct liaison with SEC enforcement staff
Manage subpoena compliance
Assess the evidence and develop a strong defense designed to diffuse the investigation
Negotiate settlements when doing so is in your best interest

Early intervention from an experienced Miami insider trading lawyer can be crucial in avoiding charges or minimizing potential penalties.

Contact Miami Insider Trading Lawyer David R. Chase, Esq. Today

If you’re facing an SEC insider trading investigation or have received a subpoena in Miami, take action now. Working with a seasoned SEC defense attorney early in the process greatly increases your chances of securing a favorable outcome.

Call David R. Chase, Esq. today at 800-760-0912 for a confidential consultation. To learn more about his background and track record, visit www.securitiesfrauddefense.net.

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