David R. Chase, P.A.
Call Us Now: 800-760-0912
David R. Chase, P.A.
Call Us Now: 800-760-0912

CALL TOLL FREE
800-760-0912

Category

SEC-FINRA Defense Blog
Insider Trading Scheme
The U. S. Securities and Exchange Commission (SEC) filed civil charges against David Cooper, a securities brokerage firm registered representative, John Lowe Jr., Randy Grewal, and Richard Ringel, three securities traders, and their companies, for engaging in a long-running illegal inside trading scheme.  The illegal insider trading scheme, as alleged by the SEC, involved a...
Read More
SEC insider trading subpoena
The U.S. Securities and Exchange Commission (SEC) obtained a final judgment in an enforcement case it filed over eighteen months ago against Amit Dagar, a former Pfizer Inc. employee, and his close friend and business partner, Atul Bhiwapurkar, for engaging in alleged illegal insider by capitalizing on material, non-public information concerning Pfizer’s Covid-19 treatment. The Final...
Read More
SEC insider trading inquiry
With over two decades of experience defending SEC insider trading investigations, and having conducted insider trading investigations when I served as Senior Counsel in the SEC’s Enforcement Division for several years, contact me if you’re facing an SEC insider trading inquiry and are looking for strategic guidance designed to avoid being charged.   My analysis of...
Read More
investigation for insider trading
The United States Securities and Exchange Commission has charged Carlos Sacanell for allegedly utilizing material nonpublic information to illegally trade on Oak Street Health, Inc. (Oak Street) in advance of an announcement that CVS Health Corporation, Inc. (CVS) had agreed to acquire it.  Filed in the U.S. District Court for the Eastern District of Pennsylvania,...
Read More
hack-to-trade-scheme
The Securities and Exchange Commission recently filed civil, insider trading charges against Robert B. Westbrook, a UK citizen, for hacking into the computer systems of five U.S. public companies to obtain their corporate earnings results and using that material, nonpublic information for his own personal gain by trading in advance of their public release.  This...
Read More
insider trading defense lawyer
Insider trading is one of the most sensationalized, highly-publicized securities violations covered in the media.  It involves trading a public company’s stock or other securities in breach of a duty while in possession of material, non-public information about the company.   Over the years, several high-profile insider trading cases have captured the public’s attention and served...
Read More
insider trading subpoena
The U.S. Securities and Exchange Commission recently filed insider trading charges against Chicago based Kevin Crotty in connection with trading in advance of a publicly released announcement on  February 16, 2023 that BP had agreed to acquire TravelCenters of America.  This SEC insider trading enforcement action marked the second civil action the SEC has brought...
Read More
Marketing Rule Violations
In September 2023, the United States Securities and Exchange Commission filed charges against nine investment advisory firms for violations of the Marketing Rules. Almost eight months later, the SEC has brought a second wave of Market Rule violations filing resolved charges against several registered investment advisory firms. Each of the targeted investment advisory firms consented...
Read More
Ponzi Scheme Defense Attorney
The United States Securities and Exchange Commission has secured a final judgment in federal district court against Zachary Horwitz, an individual the SEC sued for allegedly orchestrating a $690 million Ponzi scheme. The SEC’s enforcement complaint contends that Horwitz falsely represented to investors that he had a successful history of selling movie rights to two...
Read More
SEC Settlement
The United States Securities and Exchange Commission (SEC) recently secured a final consent judgment against Volkswagen Group of America Finance, which the SEC had previously filed securities fraud charges against in 2019 for making materially false and misleading representations relating to its billions in corporate bond offerings in 2014 and 2015. The SEC enforcement action,...
Read More
1 2 3 13