Defense of SEC, FINRA, DOJ and State Securities Regulatory Inquiries, Investigations and Enforcement Actions
The Law Firm of David R. Chase represents those being investigated and prosecuted by the United States Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Department of Justice (DOJ) and state securities regulators for alleged violations of the securities laws, financial industry rules and regulations. David R. Chase, the Firm’s principal, has over two decades of legal practice defending securities cases involving insider trading, market manipulations, fraudulent securities offerings, boiler-rooms, Ponzi schemes, outside business activities, excessive trading, unsuitability, selling away, excessive markups and markdowns and retails sales practice violations.
Representation of Defrauded Securities Investors
The Firm represents customers of brokerage and investment advisory firms who have been defrauded or whose investments assets have been mismanaged resulting in financial loss.
Typically, these cases are handled through FINRA arbitration on a contingency fee basis.
Representation of Financial Advisors in Disputes with Broker-Dealers and State Licensing Issues
The Law Firm of David R. Chase represents financial advisors in disputes with their securities broker-dealers in matters involving promissory note collection cases and Form U-5 language negotiation after termination from employment. The Firm also provides legal counsel to financial advisors who have licensing issues with the state securities regulatory bodies.
Given Mr. Chase’s unique perspective as both a former SEC Prosecutor and defense attorney, coupled with his 22 years of experience, he has the knowledge and judgment to analyze your situation, zealously protect your interests, and strategically fight to win your case.