When an SEC Wells Notice is issued to a FINRA Series 7 registered representative, the stakes rise dramatically—because it must be disclosed on their Form U4, alerting FINRA and their firm even before any charges are filed. This disclosure alone can trigger additional investigations or even termination, despite the fact that the SEC may later drop the case or it may be successfully defended. That’s why having a seasoned SEC defense lawyer like David R. Chase—a former SEC Enforcement Attorney with a nationwide practice—is critical. He uses strategic, proactive approaches, including negotiating with the SEC before a Wells Notice is issued, to protect his clients’ reputations and careers.
Learn More About Defending a Series 7 Registered Representative in a SEC Investigation Here.
