Austin Insider Trading Lawyer

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

Call Us Now: 800-760-0912

If you are being investigated by the SEC for insider trading in Austin, Texas, the consequences can be life-altering. The U.S. Securities and Exchange Commission (SEC) aggressively investigates and prosecutes insider trading, often collaborating with the Department of Justice (DOJ) to prosecute parallel civil enforcement and criminal actions. In such complex and high-stakes cases, the expert guidance of an experienced and seasoned securities lawyer is essential.

David R. Chase, Esq., a nationally recognized SEC defense attorney, offers zealous and strategic legal representation for individuals under the cross-hairs of an insider trading inquiry. A former SEC enforcement attorney, Mr. Chase brings his unique insider’s perspective to every case for every client. Although based in South Florida, Mr. Chase represents clients across the United States, including in Austin’s fast growing financial and tech sectors.

What Is Insider Trading?

Illegal insider trading takes place when someone buys or sells securities based on material, nonpublic information (MNPI) obtained in violation of a duty of trust or confidence. This misconduct can involve corporate insiders like executives and board members, as well as individuals who receive and misuse confidential information through personal or professional connections and trade on it for their financial benefit.

There are two primary types of insider trading recognized under the federal securities laws:

Classical Insider Trading

When a company insider trades on MNPI, or tips someone else who then trades. Both the insider (the “tipper”) and the recipient (the “tippee”) may be held liable if the tippee knew or should have known the information was shared improperly in breach of a duty.

Misappropriation Theory

When someone who lawfully receives confidential information—such as a lawyer, accountant, or consultant— but then misuses it, or misappropriates it, for their own financial benefit by trading securities on the information.

Potential consequences for insider trading are severe and may include:

Heavy monetary penalties

Disgorgement of illegal profits or losses avoided

Industry bans (e.g., from serving as a corporate officer of a publicly traded company)

Criminal charges and prison time if the DOJ becomes involved

Why the SEC Is Watching Austin

Austin has become a major hub for technology, finance, venture capital, and innovation. With the city’s explosive growth and increasing number of publicly traded and privately funded companies, the SEC closely monitors financial activities in the region. The Commission’s advanced data-driven surveillance tools and active whistleblower program facilitate the detection of suspicious trading anomalies and patterns and thus allows the SEC to launch investigations quickly and discreetly.

Why You Need an SEC Defense Attorney with Inside Knowledge

When facing an SEC or DOJ insider trading investigation, you need more than just a general white-collar criminal defense lawyer. You need someone who particularly understands the inner workings of the SEC, the securities laws governing insider trading, and how to dismantle the government’s case. That’s where David R. Chase stands out.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase previously served in the SEC’s Enforcement Division, where he led investigations into securities fraud and insider trading. His background allows him to anticipate how the SEC will build its case and to identify opportunities for an effective defense.

Dedicated SEC Defense Practice

Since leaving the SEC, Mr. Chase has devoted his legal career to defending individuals and companies facing SEC enforcement. Insider trading defense is one of the pillars of his national practice.

Nationwide Representation

Although based in Florida, Mr. Chase defends clients throughout the country, including in Austin. He routinely handles SEC subpoenas, Wells Notices, and settlement negotiations with the SEC.

Personalized and Strategic Defense

At David R. Chase, P.A., every client is represented directly by Mr. Chase. He develops a customized legal strategy tailored to your unique circumstances and goals designed to avoid SEC charges.

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

If you receive an SEC subpoena or suspect that you’re being investigated, do not delay. Any misstatement or misstep could make your situation worse or be irreparable.

David Chase will:

Advise you of your legal rights and obligations
Directly communicate with the SEC on your behalf
Navigate you through the subpoena compliance process
Analyze the evidence and craft a comprehensive, strategic defense
Negotiate with the SEC when appropriate to avoid or resolve charges

Early involvement of an experienced Austin insider trading lawyer can dramatically improve the chances of a favorable resolution to your case.

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

If you are facing an SEC insider trading investigation or have received a SEC subpoena in Austin, now is the time to protect yourself. Engaging a knowledgeable SEC defense attorney early on can make all the difference in safeguarding your rights, reputation, and financial future.

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

CALL TOLL FREE
800-760-0912