David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are under a SEC insider trading investigation in Denver, the stakes couldn’t be higher. The U.S. Securities and Exchange Commission (SEC), often working in conjunction with the Department of Justice (DOJ), aggressively investigates and prosecutes illegal insider trading with the use of cutting-edge surveillance, whistleblower tips, and powerful big-data analytical tools. When your freedom, finances, and professional reputation are on the line, time is of the essence for retaining experienced and knowledgeable legal representation.
David R. Chase, Esq., a former SEC enforcement attorney and nationally recognized SEC defense attorney, provides strategic, personalized defense to individuals and companies being investigated for securities fraud violations, including insider trading. Located in South Florida, Mr. Chase defends clients nationwide, including investment advisors, securities professionals, corporate executives, and investors conducting business in Denver’s fast-evolving financial, tech, and energy sectors.
Insider trading is the unlawful act of buying or selling securities while in possession of material, nonpublic information (MNPI) obtained through a breach of trust or duty. It’s not just limited to high-level corporate executives; in fact, anyone who improperly receives and acts on confidential information can face SEC enforcement.
Occurs when a corporate insider (e.g., an officer, director, or employee) trades on confidential information in breach of a duty or tips someone else who then trades knowing the information received was a result of a breach. Both the tipper and tippee may be held liable.
Applies when someone who is not a corporate insider (e.g., a lawyer, consultant, or contractor) legally obtains the MNPI but then misuses it to trade for personal gain in violation of a duty of confidentiality.
Denver is one of the country’s fastest-growing economic hubs, with a strong presence in financial services, real estate, energy, technology, and healthcare. The city is home to regional headquarters for several Fortune 500 companies and publicly traded businesses. With such a high level of financial and corporate activity, the SEC keeps a close watch on Denver’s market environment.
The SEC uses data analytics, trading pattern recognition, and tip-based enforcement to detect suspicious market activity, initiating non-public investigations well before the target is even aware of the inquiry. Denver’s role as a growing center for investment and innovation makes it a regular focus of insider trading scrutiny. In fact, the SEC maintains a regional office in Denver.
If you’ve received an SEC subpoena, or have been contacted by enforcement staff, it’s critical to act fast and retain SEC defense counsel to protect your interests.
Insider trading cases are complex and require an attorney who understands both securities law and the SEC’s enforcement investigatory process. David R. Chase brings a rare combination of having served as a former SEC enforcement attorney, along with decades of successfully defending clients in SEC investigations in his role as defense attorney after having left Government service.
If you’ve received an SEC subpoena, a Wells Notice, or suspect you are under investigation, do not engage with regulators without first speaking with an experienced Denver insider trading lawyer. Even casual or seemingly cooperative conversations can harm your defense.
David Chase will:
If you are facing an insider trading inquiry or have received an SEC subpoena in Denver, now is the time to act. A skilled SEC defense attorney can protect your rights, navigate you through the process and build a defense designed to achieve a successful result.
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, case history, and SEC defense legal services.
