David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are under SEC investigation for insider trading in Naples, Florida, your personal, financial and professional interests are at stake. The U.S. Securities and Exchange Commission (SEC), quite frequently in sync with the Department of Justice (DOJ), aggressively investigates and prosecutes insider trading cases using sophisticated data analytics, market surveillance, and cooperating witnesses. These cases are developed on a non-public basis over time before you are ever contacted.
David R. Chase, Esq., a former SEC enforcement attorney and nationally respected SEC defense attorney, provides strategic, one-on-one legal representation for individuals and companies under SEC inquiry, with an emphasis on insider trading investigations. Based in South Florida, Mr. Chase has decades of experience defending clients throughout Florida, including in the high-net-worth communities of Naples.
Insider trading occurs when someone buys or sells securities based on material, nonpublic information (MNPI) obtained in violation of a duty of trust or confidentiality. While many associate insider trading with corporate executives, anyone who illegally trades, or improperly tips others, while in possession of MNPI may be held civilly and/or criminally liable.
When a corporate insider (e.g., executive, board member, or employee) uses confidential company information to trade securities or shares the information with someone else who trades.
When someone outside a company (e.g., an attorney, consultant, or advisor) lawfully obtains confidential information through a professional relationship and then trades based on that information for personal gain in breach of a fiduciary duty or confidentiality contractual provision.
Naples is home to a large population of affluent investors, financial professionals, business executives, and retired corporate officers. Its thriving investment and wealth management community, combined with a strong presence of high-net-worth individuals and private equity stakeholders, makes it a key focus area for SEC enforcement activity.
The SEC actively monitors market activity linked to Naples residents, particularly trades made before public announcements or material corporate events, such as mergers and acquisitions. Suspicious trading patterns flagged by SEC data systems can lead to a formal investigation without prior warning to the trader.
If you’ve received a subpoena or believe you may be under investigation, taking immediate legal action is critical.
Insider trading cases often involve complex legal and evidentiary issues. Thus, you need an attorney who understands not just securities laws, but how the SEC builds its cases and how to proactively counter them. David R. Chase brings this strategic perspective as both a former SEC enforcement attorney and a veteran defense lawyer.
If you’ve received a Wells Notice, SEC subpoena, or suspect you’re the target of an insider trading investigation, do not speak to SEC officials before consulting with a knowledgeable Naples insider trading lawyer. Even seemingly harmless or innocent statements may irreparably damage your case.
David Chase will:
Early legal intervention can make the difference between avoiding charges or facing career-damaging consequences.
If you are facing insider trading allegations or have received an SEC subpoena in Naples, Florida, don’t wait. A skilled SEC defense attorney can help protect your rights, your reputation, and your future.
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 securities industry experience, prior successful results, and his focused SEC defense practice.
