SEC and FINRA Securities Regulatory Defense



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 20 years 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.

As a former SEC Prosecutor, Mr. Chase has the insight into the inner workings of the securities regulators and understands how they think, investigate, prosecute and settle their cases – a perspective that is invaluable to a successful defense strategy.

Mr. Chase, a securities attorney, has lectured on securities defense law, written articles on the subject and currently teaches SEC Enforcement Law as an Adjunct Professor at the University of Miami School of Law.

If you are under investigation by the SEC or any securities regulatory body, whether it be for insider trading or market manipulation, please take a look at the following articles, as well as my blog, which may answer some of your questions and provide you critical information about the securities investigatory process.

Articles on SEC Investigations & Radio Interview of David R. Chase on Insider Trading