David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are under an SEC insider trading investigation in Greenville, South Carolina, the consequences, including financial exposure, reputational harm and loss of securities registrations, could be life-altering. The U.S. U.S. Securities and Exchange Commission (SEC), quite often investigating in coordination with the Department of Justice (DOJ) on parallel tracks, aggressively targets and prosecutes insider trading violations. These securities fraud cases typically implicate in-depth market surveillance, trading pattern analysis, and insider whistleblower tips, and are in many cases initiated long before you’re first contacted by federal authorities.
David R. Chase, Esq., a former Senior Counsel in the SEC’s Enforcement Division and nationally respected SEC defense attorney, provides strategic legal representation for individuals facing insider trading allegations, and other under the SEC’s cross hairs for market manipulations, spoofing and other alleged securities law violations. Based in South Florida, Mr. Chase defends clients throughout the United States, including in Greenville and other fast-growing Southern corporate and technology hubs.
Insider trading involves buying or selling securities while in possession of material, nonpublic information (MNPI) in violation of a duty. While most people think of corporate executives when they hear the term “insider trading,” anyone who trades on MNPI in breach of a duty, or tips others who then trade, may be held legally responsible.
This typically involves corporate insiders, such as executives, board members, or employees, who trade their own company’s securities, or those of a target company, based on MNPI, or who tip others who then trade (tippees).
This is where an individual (e.g., attorneys, consultants, or advisors) who lawfully receive inside information in a trusted role then misuse it (i.e. misappropriate it) to trade securities for personal gain.
Greenville is one of South Carolina’s most dynamic economic hubs, with a growing population of professionals in finance, technology, advanced manufacturing, and healthcare. Its mix of corporate headquarters, regional offices, and investment activity makes it a natural target for the SEC’s market surveillance operations.
As Greenville continues to attract high-net-worth individuals, entrepreneurs, and financial professionals, the SEC closely monitors trading activity linked to the region. Unusual, suspicious trading before earnings announcements, mergers, or product releases may trigger investigations, sometimes initiated by whistleblower complaints but more often by advanced data analytics.
If you have received an SEC subpoena, or suspect that you’re under investigation, now is the time to speak with and retain an experienced defense attorney to ensure your rights are protected and that you have the best chance of avoiding charges.
Insider trading investigations are complex and high stakes. They often rely on circumstantial evidence and may involve parallel civil and criminal proceedings. You need a securities defense lawyer who understands SEC investigatory tactics and has a record of handling these cases effectively.
David R. Chase offers the unique advantage of having worked inside the SEC. He knows how the SEC thinks, investigates, prosecutes and settles its cases and, based on this knowledge, knows how to dismantle them.
If you receive a subpoena, a Wells Notice, or suspect you are being investigated, do not communicate with the SEC or DOJ without the advice of experienced legal counsel. Even seemingly harmless statements made in an effort to “cooperate” can be irreparably damaging. Bottom line: don’t go at it alone.
David Chase will:
Early action with the help of a knowledgeable Greenville insider trading lawyer can make all the difference in the outcome of your case.
If you’re facing insider trading allegations or an SEC investigation in Greenville, South Carolina, don’t wait to get critical legal assistance. A skilled SEC defense attorney can help you protect your rights, your career, and your reputation, and may be the critical factor in determining whether you are prosecuted or walk away unscathed.
Call David R. Chase, Esq. today toll-free at 800-760-0912 for a confidential consultation. You can also visit www.securitiesfrauddefense.net to learn more about his background, prior SEC investigation successes, and SEC defense services.
