Attorney Profile

About The Law Firm of David R. Chase P.A.

Our firm is different from others given my SEC background. I previously worked in the Enforcement Division of the United States Securities and Exchange Commission. There I learned how the SEC thinks, how it investigates, how it negotiates settlements and how it prosecutes.

It is that inside knowledge that I utilize for my clients’ benefit to effectively protect their interests during an SEC investigation.

My firm is also different in that my clients have access directly to me from inception of the investigation to its conclusion. There are no junior associates running around billing hours and learning on the job. My clients get an experienced, seasoned SEC defense attorney throughout the process.

My firm is also different in that we utilize a transparent flat-fee structure, so the client knows exactly what the legal representation will cost upfront, unlike large law firms where the fee is not known until the conclusion of the investigation.

Our firm focuses on SEC investigations as its core focus. Our firm handles insider trading investigations. In fact, that is a key focus of our firm. It also handles Ponzi scheme defense, stock manipulation, including spoofing, investment adviser and broker-dealer misconduct charges, as well as securities offering fraud cases and all the variations of what may be a violation of the federal securities laws.

My firm also handles Department of Justice investigations when they are parallel to the SEC, in addition to FINRA investigations.

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)
• Big Law Practice at Greenberg Traurig
• 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)