Atlanta Insider Trading Lawyer

Under SEC Investigation for Insider Trading?
What You Need to Know

Call Us Now: 800-760-0912

If you are facing an SEC insider trading investigation in Atlanta, the consequences can be severe—both legally and professionally. The U.S. Securities and Exchange Commission (SEC), often in parallel coordination with the Department of Justice (DOJ), identifies, investigates and aggressively prosecutes insider trading. These investigations are complex, non-public, and are typically well-developed before you ever receive notice. That’s why retaining skilled, knowledgeable and experienced SEC legal counsel is critical.

David R. Chase, Esq., a nationally acclaimed and highly-respected SEC defense attorney and former SEC enforcement lawyer, provides strategic and experienced representation to individuals and companies under SEC investigation. From his South Florida-based practice, Mr. Chase represents clients nationwide, including corporate professionals, executives, and financial insiders in Atlanta’s thriving business and investment sectors.

What Is Insider Trading?

Insider trading refers to the unlawful buying or selling of securities based on material, nonpublic information (MNPI) that was obtained in violation of a breach of duty. This offense isn’t limited to corporate executives; it can ensnare anyone who misuses confidential information for trading purposes.

There are two common types of insider trading:

Classical Insider Trading

Involves corporate insiders (e.g., executives, directors, employees) who trade based on MNPI or tip someone else who does. Both the tipper and tippee may be held liable if the tippee knew or should have known the information was improperly shared.

Misappropriation Theory

Applies when someone outside the company (such as a lawyer, accountant, or consultant) lawfully obtains inside information but misuses it for securities trading in violation of a fiduciary or confidentiality obligation.

Penalties for insider trading may include:

Substantial civil monetary fines

Disgorgement of trading profits or losses avoided

Bars from serving as officers or directors of public companies

Criminal charges, including imprisonment, in DOJ investigations and prosecutions

Why the SEC Targets Insider Trading in Atlanta

Atlanta is one of the fastest-growing metropolitan economies in the United States. It serves as a regional headquarters for numerous Fortune 500 companies, investment banks, fintech firms, and healthcare giants. The city’s financial, tech, and real estate sectors make it a natural focal point for SEC enforcement.

The SEC actively monitors Atlanta-based trading activity using sophisticated surveillance tools, whistleblower reports, and inter-agency cooperation. As a result, individuals and firms operating in the Atlanta area are frequently under regulatory scrutiny, particularly when it comes to potential misuse of confidential business information. In fact, the SEC maintains an office in Atlanta.

If you’ve received an SEC subpoena or suspect you may be under investigation, the time to act is now.

Why You Need a Skilled SEC Defense Attorney

Insider trading investigations require nuanced knowledge of securities law and the inner workings of SEC enforcement. David R. Chase has deep experience handling these matters — from both sides of the table. His experience within the SEC gives him unique insight into how cases are built and prosecuted.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase spent years in the SEC’s Enforcement Division, where he led insider trading and securities fraud investigations. He uses that knowledge today to build strategic defenses for his clients.

Focused SEC Defense Practice

Since leaving the SEC, Mr. Chase has devoted his legal practice entirely to defending clients facing SEC investigations. Insider trading defense has been, and continues to be, a core area of his practice.

Nationwide Representation

Though based in Florida, Mr. Chase represents clients throughout the U.S., including those in Atlanta. He regularly assists clients with SEC subpoenas, Wells Notices, and settlement negotiations.

Personalized Legal Strategy

Every case is personally handled by Mr. Chase, who crafts a tailored legal approach to safeguard each client’s rights, career, and financial future.

What to Do If You’re Under Investigation for Insider Trading?

If you’ve received a subpoena, Wells Notice, or have reason to believe you’re under sec investigation, it is not advisable to speak to securities regulators without the presence and benefit of legal counsel. Even seemingly harmless statements can complicate your defense or, worse, irreparably damage it.

David Chase will:

Advise you of your rights and legal risks in the SEC investigation
Serve as your point of contact with the SEC investigators
Assist in subpoena compliance and evidence review
Evaluate the SEC’s case and develop a custom legal defense
Negotiate a resolution on the most favorable terms if the facts so require

Hiring an experienced Atlanta insider trading lawyer early in the process can dramatically improve your chances of a favorable outcome, including avoiding charges.

Contact Atlanta Insider Trading Lawyer David R. Chase, Esq. Today

If you’re facing insider trading allegations or have received an SEC subpoena in Atlanta, contact a trusted SEC defense attorney now. Your future may very well depend on the steps you take today.

Call David R. Chase, Esq. at 800-760-0912 for a confidential consultation. You can also visit www.securitiesfrauddefense.net to learn more about Mr. Chase’s background, SEC enforcement experience, and successful case results.

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