David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are the target of an insider trading investigation in Houston, you are at a critical crossroads. The U.S. Securities and Exchange Commission (SEC), often in tandem with the Department of Justice (DOJ), aggressively investigates and prosecutes insider trading cases using vast resources, sophisticated surveillance tools and advanced data analytics. When the SEC initiates an investigation and contacts you either directly or through a subpoena, you need a knowledgeable and experienced advocate by your side — immediately.
David R. Chase, Esq., a former Senior Counsel in the SEC’s Enforcement Division and now a nationally respected and recognized SEC defense attorney, represents individuals and businesses under SEC investigation for securities fraud, including insider trading. From his South Florida-based firm, he provides strategic, personalized legal defense across the country: to executives and employees of publicly traded companies, to stock market investors in Houston. With over three decades of securities law experience and a focused SEC defense practice, Mr. Chase brings powerful insight into SEC investigations and how to effectively defend them.
Illegal insider trading occurs when someone buys or sells securities based on material, nonpublic information (MNPI) in violation of a duty of trust or confidentiality. This securities activity is considered unlawful when the information is obtained or shared improperly, even if the trader is not directly employed by the company involved.
Occurs when a corporate insider (such as an executive or board member) trades company stock based on confidential information, or tips someone else who trades. Both the provider of the information (the tipper) as well as the recipient turned trader (the tippee) can be held liable.
When someone outside the company, such as a consultant, accountant, or lawyer, who lawfully comes into possession of the confidential information misuses it to trade for personal gain in breach of a duty, whether fiduciary or contractual.
Houston is one of the largest and most economically powerful cities in the United States. As the energy capital of the world, Houston is home to numerous Fortune 500 companies, publicly traded oil and gas giants, financial institutions, engineering firms, and healthcare and biotech innovators. The city’s business environment is fast-paced and highly regulated, making it a frequent area of focus for federal securities regulators.
With a high concentration of corporate leadership, financial activity, and investment firms, the SEC actively monitors trading patterns connected to Houston-based businesses. In this climate, even innocent or misunderstood transactions can draw scrutiny from securities regulators. The SEC uses anonymous whistleblower tips, analyses of trading data, and internal cooperation between regulatory agencies to initiate non-public investigations that are typically well developed before the subject is contacted.
If you’ve received a SEC subpoena or suspect you’re under a securities regulatory investigation, it’s imperative to act quickly and seek legal counsel before speaking with the SEC.
Insider trading cases are complex and require a thorough understanding of securities law, SEC enforcement procedures, and the strategies used by regulators. As a former SEC enforcement attorney, he knows from the inside how the agency thinks and operates, and uses that insight to craft strategic defenses for his clients.
If you’ve received an SEC subpoena, a Wells Notice, or believe you are under investigation for insider trading, do not attempt to navigate the situation on your own. Even a single misstep can permanently jeopardize your defense.
Hiring a qualified Houston insider trading lawyer early in the investigation process can significantly improve your outcome and help you avoid unnecessary risk.
If you are facing insider trading allegations or have received an SEC subpoena in Houston, now is the time to protect yourself with a highly skilled SEC defense attorney. Your future and reputation depend on the choices you make today.
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 credentials, successful case results, and the depth of his experience in handling complex SEC investigations.
