How Our Deep SEC Insider Experience Protects Your Reputation, Livelihood, and Financial Assets
We do not just respond to SEC investigative tactics; we anticipate them.
By leveraging inside knowledge of how the SEC builds, evaluates, and resolves its cases, we find the critical vulnerabilities in government enforcement theories before they can be weaponized against you.
Inside the SEC Mind
- Evidence Evaluation: We know how the SEC weighs evidence and determines who to target and charge.
- Identification of Weak Links: Our firm pinpoints weaknesses in the government’s narrative and leverages them to our clients’ advantage.
- Anticipation of Potential Criminal Exposure: SEC cases can be referred to the Department of Justice, or parallel proceedings may already be underway. We use our insider knowledge of this process to tailor strategies aimed at reducing or eliminating this threat.
- Settlement Insight: We understand how the agency negotiates, allowing us to secure the most favorable settlement terms when circumstances dictate.
David Chase’s Elite Credentials Working for You
Our defense practice is led by David Chase, formerly Senior Counsel in the SEC’s Enforcement Division and Special Assistant U.S. Attorney, and now a nationally recognized SEC investigation attorney.
- Ranked Band 1 by Chambers and Partners for five consecutive years.
- Rated AV PREEMINENT by Martindale-Hubbell.
- Selected as a Super Lawyer for more than 15 years.
- Regularly quoted in leading financial publications, including The Wall Street Journal, Bloomberg, Barron’s, and the Financial Times.
- Adjunct Professor of Law at the University of Miami School of Law for over a decade, teaching SEC Investigations Law.
The SEC Defense Boutique Law Firm Advantage: Why Hire Us?
- Big-Law Quality, Boutique Attention: Big-law experience paired with the discretion and highly personal attention required by high-net-worth individuals and corporate executives.
- Transparent Flat-Fee Structure: Cost certainty without sacrificing elite-tier representation.
- Direct Access: Clients work directly and exclusively with David Chase throughout the process. Receive seasoned judgment, responsiveness, and strategic guidance from inception to conclusion—no junior associates learning and billing on your dime.
We protect corporate executives, financial institutions, traders, investment advisers, family offices, and hedge fund principals against aggressive federal scrutiny involving:
- Insider Trading Investigations
- Market Manipulation Investigations (spoofing, layering, and pump-and-dump schemes)
- Broker-Dealer & Investment Adviser Enforcement
- Securities Offering Fraud Investigations
A Specialized Focus on Defense of Insider Trading
Our firm has years of experience successfully defending insider trading inquiries, which remains a top enforcement priority for the SEC and DOJ.
- Strategic Defense Against Tipping & Trading and Misappropriation Theories
- Mitigating Insider Trading Parallel Criminal Exposure
Proven Track Record of Results
- Case Declinations: Secured investigation closing letters (no charges brought) in highly complex matters, including insider trading, market manipulation, and investment adviser matters.
- Successful Wells Notice Responses: Secured no-action outcomes after the SEC issued a Wells Notification.
- Explore our documented, prior examples of successful client results: successful results .
Take Action: Time is Critical
If you have received an SEC subpoena, an SEC Wells Notice, or a securities-fraud-related grand jury subpoena, early intervention can significantly influence the direction and outcome of your investigation.
Schedule a Strictly Confidential, Discreet Consultation with David Chase:
- Direct Phone: 800-760-0912
- Confidential Email: david@davidchaselaw.com
- Scope: Nationwide and International SEC Defense & DOJ White-Collar Representation | Based in South Florida
