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SEC Enforcement Attorney

David R. Chase
SEC Defense Attorney

FORMER SEC PROSECUTOR
NOW SEC DEFENSE ATTORNEY

David Chase Knows the SEC Playbook from the Inside.
He Now Uses It To Defend You.

Protecting Clients in SEC Investigations Nationwide for Over 30 Years

FACING AN SEC INVESTIGATION? DON’T FACE IT ALONE

An SEC investigation can put your career, reputation, business, and financial future directly at risk.

David Chase has experienced the SEC investigative process from the inside as a Senior Counsel in the SEC’s Enforcement Division.  He has seen firsthand how investigations are conducted, evidence evaluated, and whether cases are pursued.

For over 25 years, his practice has been devoted to defending clients in SEC investigations and enforcement matters.

His deep experience includes significant representation in insider trading investigations, as well as matters involving stock manipulation, securities offering frauds, Ponzi Schemes, and investment adviser violations.

HE DOESN’T JUST RESPOND TO SEC TACTICS — HE ANTICIPATES THEM.

Speak Directly With David Chase: 800-760-0912 or

YOU HIRE DAVID CHASE — YOU EXCLUSIVELY GET DAVID CHASE.

Clients work exclusively and directly with David from the investigation’s inception to its conclusion.  No exceptions.

No unnecessary layers.  No junior lawyer handoffs.  No need to explain your situation repeatedly to a succession of attorneys.

Rather, a boutique SEC defense law firm with the resources, agility, and experience necessary to protect you.

PROVEN RESULTS IN SEC INVESTIGATIONS

In numerous cases, the SEC declined to prosecute David’s clients and closed its investigations without enforcement action.

Selected results include:

  • SEC Declines to Prosecute in Insider Trading Investigation
  • SEC Declines to Prosecute in Market Manipulation Investigation
  • SEC Declines to Prosecute in Securities Offering Fraud Investigation
  • SEC Declines to Prosecute Investment Adviser
  • SEC Declines to Prosecute Hedge Fund Manager
  • SEC Declines to Prosecute Securities Broker-Dealer

View More Successful Results →

Prior results do not guarantee or predict a similar outcome in any future case. 

FIVE REASONS DAVID CHASE’S EXPERIENCE BENEFITS YOU

01 — He sees what the SEC sees during an investigation

Firsthand experience inside the SEC Division of Enforcement as a Senior Counsel leveraged for your benefit.

02 — He Anticipates Potential Criminal Exposure 

As a former Special Assistant U.S. Attorney who prosecuted criminal securities fraud, he has the experience and perspective to anticipate, assess and address potential criminal interest, including parallel proceedings.

03 — He Learned the Ropes at BigLaw  

BigLaw elite legal experience at Greenberg Traurig defending high-stakes securities matters.

04 — Nationally recognized for his SEC defense skills

Chambers USA Band 1 – Securities Litigation.

05 — He Teaches SEC Investigations as an Adjunct Law School Professor

University of Miami School of Law Adjunct Professor teaching securities law to the next generation of lawyers for over a decade.

KNOW THE COST OF YOUR REPRESENTATION BEFORE YOU BEGIN

TRANSPARENT FLAT-FEE STRUCTURE – COST CERTAINTY

David Chase provides representation on a transparent flat-fee basis, so you know the cost of your legal representation before the engagement begins.

Clear scope. Clear attorney’s fee. No hourly-billing surprises.

WHAT FORMER CLIENTS SAY (Google Reviews)

“Working with David Chase was one of the most reassuring and professional legal experiences I’ve ever had.  His knowledge, insight, and command of SEC matters are truly exceptional.” 

— Verified Google Review (securities professional)

“His expertise was balanced by an understanding of how stressful these situations are at a personal level.  He helped me navigate an emotionally charged, high-stakes process in which I felt protected, heard, and well-advised.”

— Verified Google Review (publicly traded company executive)

“He has a deep understanding of how trading desks operate and how financial organizations are structured … He’s fluent in trading jargon and grasps complex situations quickly …”  “I really appreciated his calm and pragmatic approach.”

— Verified Google Review (institutional trader)

“David is hyper responsive and delivered top-notch service to a demanding client.” 

— Verified Google Review (investment adviser officer)

“His negotiation skills were excellent and detailed.”

— Verified Google Review (financial markets professional)

IF THE SEC HAS CONTACTED YOU, SPEAK DIRECTLY AND CONFIDENTIALLY WITH DAVID CHASE AND START BUILDING YOUR DEFENSE NOW.    800-760-0912

David Chase is a nationally prominent securities defense attorney and founder of Law Firm of David R. Chase, a boutique sec defense law firm.

SEC SUBPOENA | WELLS NOTICE | SEC INVESTIGATION | FORT LAUDERDALE BASED | NATIONWIDE REPRESENTATION ACROSS ALL 50 STATES INCLUDING NEW YORK, NEW JERSEY, LOS ANGELES, SAN DIEGO, MIAMI, AND CHICAGO

Have You Been Contacted by the SEC, DOJ or FINRA?

Reviews / Testimonials

Avvo Reviews

A national SEC Investigation Lawyer Expert

David is one of the finest attorneys I know. I have hired and worked with many attorneys before, but none with the deep knowledge that David has of the federal securities laws. He is a national expert in the SEC investigation space. But more than anything else, David truly cares about his clients and their matters. He took the time to thoroughly understand my situation and provided clear, practical guidance that gave me a total confidence. His professionalism, responsiveness, and ability to explain complex matters in a clear and easy to understand way truly set him apart from other lawyers out there. I would highly recommend David to anyone seeking a knowledgeable and trustworthy securities lawyer. I would recommend him to my children and closest family members if they needed a lawyer.

Jeffrey
AVVO Review

Excellent SEC Defense Attorney

David Chase is an experienced and well respected SEC defense attorney. He is an expert in this area of the law and gets excellent results for his clients.

Alex
Avvo Review

Frequently Asked Questions (FAQ)

Q: What should I do immediately if I am contacted by the SEC or receive a subpoena? 

A: If you receive an SEC inquiry, subpoena, or informal request for information, do not speak to enforcement staff or turn over documents without legal representation. Anything you say can be used against you. Contact an experienced and nationally recognized SEC defense attorney immediately to take control of the narrative, protect your rights, and financial interests.  

Q: How does hiring a former SEC prosecutor benefit my defense? 

A: A former SEC enforcement attorney knows the internal playbook—how investigations are launched, how the Division of Enforcement investigates, evaluates evidence, and how they make charging decisions versus a case closure. David Chase uses his insider perspective to anticipate SEC tactics, counter them proactively, and best position your case for a favorable resolution. 

Q: What is an SEC Wells Notice, and what does it mean? 

A: A Wells Notice is a formal communication from the SEC informing you that the staff has concluded its investigation and intends to recommend that the Commission bring an enforcement action against you. Receiving a Wells Notice is critical; it gives you a limited window to submit a formal written brief (a Wells Submission) arguing why charges should not be brought. Immediate, strategic and calculated epresentation is essential at this stage to attempt to persuade the SEC to either drop its charging recommendation or engage in settlement discussions to achieve the best possible resolutuion. 

Q: Will my case be handed off to a junior associate? 

A: Absolutely not. Unlike traditional BigLaw firms where junior lawyers often handle the day-to-day work after you sign up with a partner, David Chase provides direct, exclusive representation. You work directly with David from the inception of the investigation to its conclusion—ensuring no unnecessary layers, no handoffs, and complete continuity. 

Q: How does David Chase’s flat-attorney’s fee structure work? 

A: David Chase provides representation on a transparent, flat-fee basis. Before any engagement begins, the scope of work and the attorney’s fee are clearly defined, giving you complete cost certainty and eliminating the anxiety of unpredictable hourly-billing surprises during an already stressful time.