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Insider Trading: What the SEC Looks For

If you are under investigation for trading stock while in possession of material nonpublic information, you could be charged with insider trading. This is a serious crime with potentially serious consequences, including criminal exposure. Being investigated for or charged with SEC violations, including insider trading and any other form of securities fraud, can be difficult to understand and deal with emotionally.

You need an experienced securities lawyer. Call David R. Chase at 800-760-0912 or contact our firm online to request a free and confidential consultation. Located in Fort Lauderdale, Florida, we defend clients nationwide.

When you hire The Law Firm of David R. Chase, P.A., we will immediately begin our own investigation and work to determine any civil and/or criminal exposure you may face. We will look for the very same items and records the SEC will likely seek, in order to properly prepare your defense.

What the SEC Looks For

During an insider trading investigation, the Securities and Exchange Commission typically seeks the following information:

  • When you traded
  • How much you invested relative to your net worth
  • Who you know that has a relationship with the company
  • Your phone records, including home, cell and business lines
  • Your electronic correspondence, including e-mails and text messages, to determine who you spoke to and when
  • Your prior trading history to determine whether your trading fits a pattern
  • Your bank records to show who you may have paid and who may have paid you in connection with any potential stock tip
  • Your calendars (including electronic calendars) to determine who you met with and when
  • Brokerage account statements

As a former securities prosecutor for the federal government, attorney David R. Chase knows how the SEC will attempt to prove you traded based on inside information. He knows how they investigate, prosecute and negotiate, and thus he knows how to defend you from insider trading allegations.

Contact The Law Firm of David R. Chase, P.A. at 800-760-0912 for a free initial consultation.