You open an overnight envelope and your stomach drops. It’s a subpoena from the Securities and Exchange Commission (SEC). You are required to produce documents and appear for sworn testimony. After the initial shock fades, reality sets in: this is serious. Your finances, career, professional licenses, and reputation may all be at risk. Your next...Read More

David R. Chase, Esq., Former SEC Senior Counsel – Miami Office  Before entering private practice, I served as Senior Counsel in the Miami office of the U.S. Securities and Exchange Commission from 1995 to 1999. As a senior member of the Enforcement Division, I investigated and prosecuted complex violations of the federal securities laws, including matters arising...Read More