David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are facing an insider trading investigation in Dallas, you’re potentially dealing with a high-stakes, life-changing legal matter that requires the immediate retention of an experienced SEC defense lawyer. The U.S. Securities and Exchange Commission (SEC), in addition to the Department of Justice (DOJ), aggressively investigates insider trading cases—using advanced surveillance tools, data analytics, and coordinated enforcement federal and state agency efforts. When your reputation, freedom, and financial future are on the line, you need the right legal advocate by your side.
David R. Chase, Esq., a prominent, nationally recognized SEC defense attorney, provides strategic and effective representation for individuals under the SEC’s microscope for illegal insider trading. As a former SEC enforcement attorney, Mr. Chase brings a deep understanding of how the SEC investigates, prosecutes and settles its cases. Located in South Florida, he represents clients across the United States, including corporate executives, financial service professionals, and those in the oil and gas industry in Dallas’s expanding financial and corporate sectors.
Insider trading occurs when one buys or sells securities based on material, nonpublic information (MNPI) obtained in breach of a fiduciary duty or similar relationship of trust. This misconduct may involve corporate executives, board members, employees, or outsiders who unlawfully receive and act on inside information in breach of a duty.
The federal courts have recognized two theories of insider trading:
Involves corporate insiders who trade on confidential company information or tip others who then trade. Both the tipper and tippee can be held liable if the tippee knew or should have known the information was shared in violation of a duty.
Occurs when someone who lawfully comes into confidential information, like an attorney working on a merger, and misuses that information for personal financial gain through securities trading.
Dallas is home to a booming financial sector, numerous publicly traded corporations, and a growing technology scene. With a hum of investment activity and corporate leadership concentrated in the region, Dallas remains a focus for SEC enforcement. The SEC’s advanced trade monitoring systems and its highly effective whistleblower programs enable it to detect trading anomalies, identify suspicious trading patterns and, as a result, open investigations efficiently and on an non-public basis.
If you’ve been served with an SEC subpoena or contacted by SEC enforcement staff, it likely means the agency already has a head start on building its case against you. At this point, your next critical move is to hire experienced and knowledgeable securities legal counsel. Time is of the essence.
Insider trading cases are highly specialized and require a lawyer who understands the nuances of securities law and how the SEC operates. David R. Chase has extensive experience in this area and a proven track record of successfully representing clients in SEC investigations and enforcement actions.
If you’ve received an SEC subpoena, Wells Notice, or suspect you’re under investigation for insider trading, do not engage with investigators without first speaking to an experienced attorney. Even a well-intentioned response can be damaging and may be irreparable.
David Chase will:
Engaging an experienced Dallas insider trading lawyer early in the process can make a significant difference in the outcome of your case.
If you’re facing an insider trading investigation or have received an SEC subpoena in Dallas, don’t delay. A knowledgeable SEC defense attorney can help you navigate the process, protect your interests, and work to avoid you being charged with securities law violations.
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, legal services, and history of successful results.
