Charlotte 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 insider trading investigation in Charlotte, North Carolina, you may be dealing with a life-changing legal matter that can have lasting consequences on your reputation, career, and potentially freedom. The U.S. Securities and Exchange Commission (SEC), often working in tandem with the Department of Justice (DOJ), aggressively detects, investigates and prosecutes insider trading cases. These investigations move fast—and so should your response.

David R. Chase, Esq., a former Senior Counsel in the SEC enforcement division and a nationally recognized and widely quoted in the news SEC defense attorney, provides strategic and results-oriented representation to clients accused of insider trading. With a deep institutional knowledge of how the SEC builds its cases, Mr. Chase crafts tailored defense strategies aimed at protecting your rights and resolving the matter either without charges being filed, or on the most favorable settlement terms as possible. Based in South Florida, Mr. Chase represents clients nationwide, including in North Carolina’s financial hub of Charlotte.

What Is Insider Trading?

Insider trading refers to the buying or selling of securities based on material, nonpublic information (MNPI), done in violation of a duty of trust or confidence. It can involve corporate insiders, including executives or directors, or third parties who receive tips and trade on confidential information.

Under the federal securities laws, two types of insider trading are prosecuted by the SEC:

Classical Insider Trading

Occurs when one inside a company trades on material, nonpublic information, or provides that information in breach of a duty to someone else (a “tippee”) who then trades. Both individuals can be held liable if the tippee knew or should have known the information was obtained improperly.

Misappropriation Theory

Involves who lawfully receives confidential information, such as a consultant, attorney, or a merger and acquisition advisor, but misuses it by trading based on that information for personal gain.

Potential penalties for insider trading include:

Significant civil penalties

Disgorgement of profits, whether it be trading gains or losses avoided

Officer and Director Bars

Criminal prosecution and possible prison time if the DOJ pursues the case

Why the SEC Targets Charlotte

As one of the largest banking centers in the United States, Charlotte is home to major financial institutions, investment firms, and publicly traded companies. The SEC closely monitors trading activity in the region, looking for signs of market manipulation and insider trading. With access to sophisticated data analytics and an endless string of tips generated from its robust whistleblower program, the SEC can begin an investigation without your knowledge.

By the time you receive a SEC subpoena or are contacted by the SEC staff, the SEC may already have developed a strong preliminary case. That’s why securing the representation of an experienced SEC defense lawyer is critical.

Why You Need a Skilled SEC Defense Attorney

Fighting insider trading allegations requires more than general legal experience; rather, it demands in-depth knowledge of the federal securities laws, SEC enforcement tactics and litigation strategy. David R. Chase has built a career and national reputation from successfully defending clients in these high-stakes situations.

Former SEC Enforcement Attorney

Mr. Chase worked in the SEC’s Enforcement Division, where he conducted investigations into possible insider trading investigations, as well as those involving market manipulations and Ponzi schemes. He knows how the SEC thinks and thus how to counter its tactics.

Focused SEC Defense Practice

Since leaving the Commission, Mr. Chase has focused his practice exclusively on defending clients under investigation by the SEC. Insider trading defense has been and remains a core component of his national SEC defense practice.

Nationwide Reach

Located in Florida, Mr. Chase regularly represents clients across the country, handling SEC subpoenas, Wells Notices, and settlements.

Personalized Strategy

Mr. Chase personally handles every case, crafting customized strategies designed to protect your professional reputation and legal interests.

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

If you’ve received an SEC subpoena, a Wells Notice, or suspect that you are under investigation, do not attempt to handle the matter on your own. Even well-intentioned responses can cause irreparable harm. The sooner you retain competent SEC defense counsel, the better your chance of resolving the matter favorably.

David Chase will:

Advise you on your legal rights and options under the law
Serve as your spokesperson with the SEC
Assist you in complying the SEC subpoena
Analyze the evidence and formulate a strategic defense
Work to avoid you being charged or, if appropriate, negotiate a favorable settlement

Retaining a knowledgeable Charlotte insider trading lawyer early in the process is key to protecting your future.

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

If you’re facing an SEC insider trading investigation or have received a subpoena in Charlotte, don’t succumb to paralysis and delay in taking action. A skilled SEC defense attorney can help you navigate the process and increase the likelihood of avoiding charges.

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 his background, SEC defense services, and successful prior case results.

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