New Hampshire 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 for insider trading in New Hampshire, the stakes are high. The U.S. Securities and Exchange Commission (SEC), often-times in tandem with the Department of Justice (DOJ), aggressively identifies, investigates and prosecutes insider trading cases utilizing vast governmental resources, including advanced surveillance, data analytics, and whistleblower tips. These securities fraud investigations can be complex, fast-moving, and highly consequential. Immediately securing experienced and knowledgeable legal representation is crucial to protecting your interests.

David R. Chase, Esq., a former SEC enforcement attorney and nationally acclaimed SEC defense attorney, provides experienced, strategic defense for individuals and companies under SEC investigation, including insider trading. Mr. Chase, based in Florida, defends clients nationwide, including securities professionals, corporate executives, individual investors, and registered financial advisors in New Hampshire’s growing business and financial sectors.

What Is Insider Trading?

Insider trading occurs when someone buys or sells securities based on material, nonpublic information (MNPI) obtained in violation of a fiduciary duty or a relationship of trust. These cases can involve corporate executives, employees, consultants, or anyone who receives confidential information and misuses it for financial gain.

There are two primary forms of insider trading:

Classical Insider Trading

By way of example: when a corporate insider (such as an executive, director, or employee) trades on confidential company information or tips someone else who then trades in breach of a duty. Both the tipper and tippee can be held liable.

Misappropriation Theory

This is where someone outside the company (like a lawyer, advisor, or company consultant) lawfully receives confidential information but then misuses it for personal profit by trading on it.

Penalties for insider trading include both monetary and non-monetary components, such as:

Substantial civil monetary penalties, often tied to the profits realized

Disgorgement of illegal profits or losses avoided through sales

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

Federal criminal prosecution and potential imprisonment in DOJ cases

Why the SEC Targets Insider Trading in New Hampshire

New Hampshire is known for its robust financial services, technology, and healthcare sectors. With its proximity to Boston and a growing base of investment firms, publicly traded companies, and financial professionals, the state is a natural focus for SEC enforcement. The state’s tax-friendly policies and thriving business environment also make it a hub for startups and venture capital.

The SEC monitors trading activity in New Hampshire closely, using data analytics, whistleblower tips, and inter-agency cooperation to identify suspicious trading patterns. Whether you are an executive at a publicly traded company, an investor, or a consultant with access to confidential information, you may be subject to SEC scrutiny if your trading raises red flags.

If you have received an SEC subpoena or suspect you may be under SEC investigation, taking swift action is essential to protect your rights.

Why You Need an Experienced SEC Defense Attorney

Successfully defending against insider trading allegations requires specialized legal knowledge. You need an attorney who understands federal securities laws, SEC investigation procedures, and effective defense strategies. David R. Chase brings this experience to every case, having handled insider trading matters from both sides, both as an SEC enforcement attorney and, for the last 25 years, as a white-collar securities defense lawyer.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase spent years in the SEC’s Enforcement Division as a Senior Counsel, leading complex insider trading and securities fraud investigations and prosecutions. His insider knowledge of SEC investigative procedures is a powerful asset for his clients.

Focused SEC Defense Practice

Since leaving the SEC, Mr. Chase has built a law practice dedicated to defending individuals and companies under investigation by the SEC. Insider trading defense is at the core of his national practice.

Nationwide Representation

Based in Florida, Mr. Chase represents clients throughout the United States, including in New Hampshire. He regularly handles SEC subpoenas, Wells Notices, settlement negotiations, and enforcement actions.

Personalized, Strategic Defense

Every case is directly managed by Mr. Chase, who develops a custom legal strategy based on the specific facts and goals of each client designed to avoid his clients from being charged.

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

If you have received an SEC subpoena, a Wells Notice, or believe you may be under investigation for insider trading, do not engage with SEC enforcement staff without first consulting an experienced New Hampshire insider trading lawyer. Even casual conversations can, and likely will, be used against you.

David Chase will:

Advise you on your legal rights and obligations on securities laws matters
Serve as your point of contact with SEC enforcement staff
Assist you with subpoena compliance and document production
Evaluate the evidence and build a strong, proactive defense
Negotiate with regulators to avoid charges or, if required by the circumstances, negotiate the best possible settlement

Taking immediate action with the help of an experienced attorney can dramatically improve your chances of a favorable outcome.

Contact New Hampshire Insider Trading Lawyer David R. Chase, Esq. Today

If you are facing insider trading allegations or have received an SEC subpoena in New Hampshire, don’t wait. A knowledgeable SEC defense attorney can protect your rights, reputation, and financial 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 his background, prior successful case results, and his SEC defense services.

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