Minneapolis Insider Trading Lawyer

Under SEC Investigation for Insider Trading?
What You Need to Know

Call Us Now: 800-760-0912

If you are under an SEC insider trading investigation in Minneapolis, the potential consequences can be life-changing. The U.S. Securities and Exchange Commission, often working in cooperation with the Department of Justice (DOJ), aggressively investigates and prosecutes insider trading cases using advanced surveillance techniques and extensive legal resources. In such high-stakes, white-collar cases, quickly securing experienced and knowledgeable SEC legal counsel is critical.

David R. Chase, Esq., a former SEC enforcement attorney and nationally recognized SEC defense attorney, provides skilled, proactive representation to individuals and companies under investigation by the SEC. From his South Florida-based practice, Mr. Chase defends clients across the country, including professionals, executives, and investors in Minneapolis’s business, financial, and healthcare sectors.

What Is Insider Trading?

Insider trading takes place when a person buys or sells securities based on material, nonpublic information (MNPI) in breach of a duty. The law not only applies to corporate insiders, but can also extend to anyone who illegally receives confidential information and uses it for securities trading.

There are two legal theories of insider trading:

Classical Insider Trading

This is where a corporate insider (such as an executive, director, or employee) trades on confidential company information, or tips someone else who then trades. Both the tipper and tippee can be held liable if the information was shared improperly.

Misappropriation Theory

Applies when someone who legally obtains confidential information (such as a consultant, lawyer, or financial advisor) misuses it to trade securities for personal gain in breach of a fiduciary and/or confidentiality duty.

Penalties for insider trading can include:

Significant civil fines

Disgorgement of ill-gotten gains and/or avoidance of trading losses

Bars from serving as an officer or director of a public company

Criminal prosecution and imprisonment in DOJ cases

Why the SEC Targets Insider Trading in Minneapolis

Minneapolis is a major Midwestern economic center, home to several Fortune 500 companies, large financial institutions, healthcare innovators, and a thriving technology sector. With a high concentration of publicly traded companies and investment activity, the city is a natural focus for SEC enforcement efforts.

The SEC actively monitors market activity linked to Minneapolis businesses, using sophisticated data analytics, whistleblower tips, and market surveillance tools to detect potential insider trading. Investigations are non-public and may be well underway before the subject receives a subpoena or notice of the inquiry.

If you are contacted by the SEC or suspect you may be under investigation, early action is crucial to protect yourself, your reputation and financial future.

Why You Need an Experienced SEC Defense Attorney

Defending against insider trading allegations requires deep and extensive knowledge of SEC investigative procedures, securities law, and federal enforcement strategies. David R. Chase brings a rare combination of inside experience from his time at the SEC and decades of defense work on behalf of clients nationwide.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase served in the SEC’s Enforcement Division as a Senior Counsel, leading complex insider trading and securities fraud investigations. His experience gives him unique insight into the government’s methods, and how to effectively counter them.

Focused SEC Defense Practice

After leaving the SEC, Mr. Chase built his law practice around defending individuals and companies in SEC investigations. Insider trading defense has been, and continues to be, a core focus of his practice.

Nationwide Representation

Based in Florida, Mr. Chase regularly represents clients across the country, including in Minneapolis. He represents clients who have received SEC subpoenas and Wells Notices, and will engage in settlement negotiations with the SEC where necessary.

Personalized, Strategic Defense

Every client’s case is personally handled by Mr. Chase, who develops a customized legal strategy focused on protecting your rights, reputation, and future.

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

If you have received an SEC subpoena, a Wells Notice, or believe you are being investigated, you should not engage with SEC staff or investigators without first consulting an experienced Minneapolis insider trading lawyer. Even casual conversations with investigators can significantly damage your defense.

David Chase will:

Advise you on your rights and obligations
Communicate directly with SEC enforcement attorneys on your behalf
Guide you through responding to subpoenas and evidence collection
Analyze the evidence and build a strong, proactive defense
Negotiate with regulators to avoid charges or to mitigate penalties

Hiring experienced counsel early in the process may dramatically improve your chances of a favorable resolution, including avoiding being charged.

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

If you are facing an insider trading investigation or have received an SEC subpoena in Minneapolis, don’t wait. Retaining a seasoned SEC defense attorney can be the key to protecting your rights and securing the best possible outcome.

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 Mr. Chase’s background, successful case results, and SEC defense services.

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