David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are under investigation by the SEC or facing insider trading allegations in Oklahoma City, you need to act quickly to retain an experienced SEC defense attorney to protect yourself. The Securities and Exchange Commission (SEC) has historically prioritized the targeting of illegal insider trading as a key enforcement priority. Under the new SEC administration, headed by Chairman Paul Atkins, several indications strongly suggest this trend will continue. The SEC identifies and targets insider trading by using sophisticated data analysis and surveillance tools, as well as referrals by NASDAQ and SEC whistleblowers. By the time you receive a subpoena or contact from SEC enforcement staff, the SEC may already have developed significant, incriminating evidence against you.
David R. Chase, Esq., a former SEC enforcement attorney and experienced nationally recognized SEC defense attorney, represents individuals and businesses across the country, including in Oklahoma City, in SEC investigations and enforcement proceedings. With decades of experience and a practice focused exclusively on securities fraud law, Mr. Chase delivers strategic, creative and effective legal representation to those facing insider trading charges by the SEC, FINRA and DOJ.
Insider trading is the buying or selling of securities based on material, nonpublic information (MNPI) obtained through a breach of duty or trust. This type of trading may involve corporate insiders, such as executives or board members, or outside parties like friends, advisors, consultants, or even casual acquaintances who received the information improperly.
Involves corporate insiders who trade on MNPI or pass it along (as a “tip”) to someone else who trades on it in breach of a fiduciary duty.
This is where an individual who lawfully comes into possession of MNPI (such as a lawyer, accountant, or contractor) misuses that information for personal trading advantage in breach of a duty, whether fiduciary or contractual.
Oklahoma City has grown into a powerful regional economic center, particularly in sectors such as energy, aerospace, healthcare, and manufacturing. The city is home to major publicly traded companies and financial institutions whose executives, employees, and service providers often have access to confidential corporate information.
Given this concentration of business and investment activity, the SEC closely monitors securities trading in and around Oklahoma City. When trades suspiciously precede publicly announced corporate events such as mergers, earnings reports, or regulatory approvals, the SEC may, armed with or without additional information, initiate an insider trading investigation.
If you are contacted by the SEC via a subpoena or directly by phone, you should immediately consult with a qualified Oklahoma City SEC insider trading lawyer to protect your rights and seek critical counsel from the outsight.
Insider trading cases are complex and often involve circumstantial evidence such as the timing of the trade relative to the public announcement, phone records that potentially may reflect communications with corporate insiders or those who possessed MNPI, personal relationships, or text/email communications. The SEC’s enforcement staff is experienced and can be aggressive – communicating with them without a knowledgeable lawyer can lead to serious missteps and may irreparably damage your case.
David R. Chase brings the insight of a former SEC prosecutor to each of his clients. Having worked in the SEC’s Enforcement Division, he understands how SEC investigations are conducted and how cases are built; and more importantly, how they can be dismantled and defeated.
If you’ve received an SEC subpoena or Wells Notice, or even if you just suspect you’re being investigated, it is recommended that you not speak with regulators without an attorney. Anything you say may, and will likely be, used against you in civil or criminal proceedings.
David R. Chase can:
Retaining a knowledgeable SEC defense attorney early can make the difference between avoiding charges and facing serious penalties.
If you’re facing an SEC insider trading investigation in Oklahoma City, don’t wait and try to go at it alone – the stakes are just too high. Contact an experienced Oklahoma City insider trading lawyer to guide you through this complex legal challenge.
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 background, experience, and successful case insider trading outcomes.
