David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are under SEC investigation for insider trading in San Francisco, your legal, financial, and professional future is at serious risk. The U.S. Securities and Exchange Commission (SEC), often in partnership with the Department of Justice (DOJ), vigorously investigates and prosecutes insider trading cases. These matters are complex, fast-moving, and potentially devastating without the right legal counsel at your side.
David R. Chase, Esq., a nationally known and respected SEC defense attorney, provides aggressive and strategic legal representation to individuals under SEC inquiry. A former Senior Counsel in the SEC’s enforcement division, Mr. Chase brings an insider’s understanding of how the SEC investigates and prosecutes its cases. From his South Florida-based office, he defends clients around the country, including executives, hedge fund managers, private equity principals, and financial professionals in San Francisco’s tech-driven economy.
Insider trading occurs when someone buys or sells a security based on material, nonpublic information (MNPI) in breach of a fiduciary duty or similar obligation of trust and confidence. Many times these cases involve company executives, board members, employees, consultants, or any individual who obtains and misuses confidential information to gain an unfair market advantage in the trading markets.
There are two principal legal concepts of insider trading:
Involves a corporate insider trading on confidential company information. If the insider tips another person who then trades, both can be held liable if the tippee knew or should have known the information was shared improperly.
Occurs when someone who legally receives confidential information (e.g., a lawyer, advisor, or consultant) misuses it by trading on it for personal gain in breach of a duty.
San Francisco is a global leader in technology, finance, venture capital, and innovation. The high volume of market-sensitive activity in the region makes it a frequent target for SEC scrutiny. The Commission’s use of cutting-edge surveillance, trading algorithms, and a strong whistleblower program provide it formidable tools to detect and initiate complex investigations with minimal warning.
By the time you’re contacted by SEC enforcement staff or served with a subpoena, the agency may already have compiled extensive evidence against you. That’s precisely why early involvement by a seasoned SEC lawyer is essential.
Fighting insider trading allegations requires in-depth knowledge of securities law, federal procedures, and the inner workings of the SEC. David R. Chase offers this rare combination of experience and insight, having spent years inside the SEC as an enforcement attorney before founding his own SEC defense practice.
If you’ve received an SEC subpoena, a Wells Notice, or suspect you’re being investigated, you should not communicate with others until you have retained an experienced SEC defense attorney. Even a small misstep or statement can be used against you.
David Chase will:
Getting ahead of the investigation with the help of a knowledgeable San Francisco insider trading lawyer can be the key to protecting your career, assets, and freedom.
If you’re facing an SEC insider trading investigation or have received a SEC subpoena in San Francisco, do not wait. Paralysis, while natural under these circumstances, is dangerous. Engaging a skilled SEC defense attorney as early as possible can have a significant positive impact on the outcome of your case.
Call David R. Chase, Esq. today at 800-760-0912 for a confidential consultation. You can also visit www.securitiesfrauddefense.net to learn more about Mr. Chase’s experience, practice areas, and history of success.
