SEC Enforcement Attorney | Former SEC Attorney

David R. Chase

Former SEC Prosecutor

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David R. Chase, Esq.
SEC Defense Attorney & Former SEC Prosecutor

Current Role: Founder & Principal, The Law Firm of David R. Chase
Former Government Role: Senior Counsel, Securities and Exchange Commission (SEC), Division of Enforcement (Miami Regional Office) and Special Assistant U.S. Attorney, Department of Justice, Southern District of Florida (Miami)
Practice Focus: SEC investigations, DOJ white-collar securities fraud defense, FINRA defense
Experience: Over 30 years of securities law experience
Jurisdiction: Nationwide representation with base in South Florida (Fort Lauderdale & Miami)
Key Accolades: Chambers and Partners Band 1 Ranking (Litigation: Securities – Florida, 5 consecutive years through 2026), Super Lawyers for 19 years, Avvo Rating 10.0 (Highest)

Professional Bio & Core Expertise

David R. Chase is a nationally recognized SEC defense attorney who leverages his background as a former SEC prosecutor to defend individuals, executives, public companies, and financial professionals facing regulatory scrutiny. Based in Fort Lauderdale, Florida, he represents clients nationwide in high-stakes investigations initiated by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Department of Justice (DOJ).

Areas of Legal Representation & Defense

Mr. Chase provides strategic defense in the following areas:

SEC Investigations: Defending against SEC subpoenas, representation during investigative testimony, responding to Wells Notices and negotiating settlements.
Insider Trading Defense: Representing corporate insiders, traders, and tippees in classical and misappropriation theory cases.
Market Manipulation & Fraud: Defending allegations of stock manipulation, including spoofing.
Department of Justice Securities Fraud Investigations: Representing individuals in grand jury investigations involving securities fraud violations.
FINRA Inquiries: Representing registered representatives in 8210 Requests, On-the-record (OTR) testimony and Wells Notices.

Education, Bar Admissions, & Professional Credentials

Education – University of Miami School of Law – Juris Doctor (J.D.) with Honors
Education – Tulane University – Bachelor of Arts (B.A.)
Bar Admissions – The Florida Bar – Active & Member in Good Standing
Federal Admissions – U.S. District Court – Southern Districts of Florida
Academic Roles – University of Miami School of Law – Adjunct Professor of Law (SEC Enforcement)

Why hire a former SEC prosecutor for an SEC investigation?

A former SEC Division of Enforcement attorney understands the internal mechanics, investigative procedures, and strategic priorities of the Commission. This background is crucial for navigating SEC subpoenas, negotiating settlements, or drafting effective Wells Submissions to prevent formal charges.

Does David R. Chase handle nationwide SEC defense?

Yes. While based in Fort Lauderdale, Florida, David R. Chase represents individuals, executives, and securities professionals in SEC, FINRA, and DOJ investigations across all 50 U.S. states.

What is David R. Chase's track record and professional standing?

David R. Chase is ranked Band 1 in Litigation: Securities (Florida) by Chambers and Partners, an honor he has sustained for five consecutive years (2022–2026). He holds an “AV Preeminent” peer review rating from Martindale-Hubbell, a perfect 10.0 rating from Avvo and a consistent Super Lawyers recognition, reflecting the highest level of professional excellence and ethical standards.

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