Nashville Insider Trading Lawyer

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

Call Us Now: 800-760-0912

If you are under investigation by the SEC for insider trading in Nashville, the risks to your reputation, career, and freedom are potentially life-altering. The U.S. Securities and Exchange Commission (SEC), often working closely with the Department of Justice (DOJ), aggressively investigates and prosecutes insider trading cases, using sophisticated surveillance and data analysis tools. When your future is on the line, you need experienced legal counsel by your side immediately.

David R. Chase, Esq., a nationally recognized SEC defense attorney and former SEC enforcement lawyer, provides strategic, hands-on defense for individuals and businesses under the SEC’s investigative cross-hairs. South Florida-based, Mr. Chase defends clients nationwide, including executives, investors, and professionals in Nashville’s fast-growing business and healthcare sectors.

What Is Insider Trading?

Insider trading occurs when someone buys or sells securities while in possession of material, nonpublic information (MNPI) in breach of a duty. It is not limited to corporate executives; in fact, anyone who improperly receives confidential information and trades on it can be subject to SEC enforcement investigation.

There are two types of insider trading:

Classical Insider Trading

Occurs when a company insider—such as a director, officer, or employee—uses confidential information for personal trading or tips others who do in breach of a duty. Both the tipper and the tippee may be held liable if the information was improperly disclosed and used.

Misappropriation Theory

Applies when someone who has been legally entrusted with confidential information, such as an attorney, consultant, or advisor, then misuses that information to trade securities in violation of a fiduciary or confidentiality obligation.

Penalties for insider trading can include:

Large civil monetary penalties

Disgorgement of trading profits and/or trading losses avoided

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

Criminal prosecution and federal imprisonment in DOJ matters

Why the SEC Targets Insider Trading in Nashville

Nashville is one of the fastest-growing cities in the United States and a major hub for healthcare, technology, finance, and entertainment. Home to numerous publicly traded healthcare companies, private equity firms, and growing tech enterprises, Nashville generates a steady stream of market-sensitive information.

The SEC monitors trading activity tied to these sectors closely. Using advanced data analysis tools, whistleblower tips, and inter-agency partnerships, the SEC can detect suspicious trades that may lead to investigations. If you have received a subpoena or suspect you are under investigation, it’s crucial to act quickly—by that time, the SEC may already have gathered substantial evidence.

Why You Need an Experienced SEC Defense Attorney

Insider trading investigations are high-stakes, white-collar matters that require specialized legal knowledge. A general criminal defense lawyer may not have the experience necessary to navigate SEC enforcement tactics. David R. Chase has decades of direct experience handling these cases, both as an SEC enforcement attorney and as a private defense lawyer.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase worked in the SEC’s Enforcement Division and held the position of Senior Counsel, managing insider trading and securities fraud investigations. His understanding of the SEC’s inner workings gives him a unique advantage in defense cases.

Focused SEC Defense Practice

After leaving the SEC, Mr. Chase built a law practice entirely focused on defending clients under investigation by the SEC. Insider trading defense is at the core of his national practice.

Nationwide Representation

Based in Florida, Mr. Chase defends clients across the United States, including in Nashville. He regularly handles SEC subpoenas, Wells Notices, settlement negotiations, and enforcement actions.

Personalized Strategic Approach

Every case is personally handled by Mr. Chase, who develops tailored legal strategies designed to protect each client’s rights, reputation, and future.

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

If you’ve received an SEC subpoena, a Wells Notice, or believe you are being investigated, it is vital to avoid speaking with regulators before consulting with an experienced Nashville insider trading lawyer. Anything you say can be used against you.

David Chase will:

Advise you of your legal rights and responsibilities under the securities laws
Communicate directly with SEC and staff on your behalf
Help you comply with subpoenas and document requests
Analyze the government’s case and build a strong, proactive defense
Seek to avoid charges

Hiring a knowledgeable SEC defense attorney early in the investigation process is crucial to safeguarding your interests.

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

If you’re facing an insider trading investigation or have received an SEC subpoena in Nashville, don’t delay. An experienced SEC defense attorney like David R. Chase can make a critical difference in protecting your future.

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 his background, case results, and focused securities enforcement defense services.

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