Phoenix Insider Trading Lawyer

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

Call Us Now: 800-760-0912

If you’re under an SEC insider trading investigation in Phoenix, you’re dealing with a matter that could have life-changing consequences for your career, finances and, potentially, liberty. The U.S. Securities and Exchange Commission, often working alongside the Department of Justice (DOJ), aggressively pursues insider trading cases. These investigations can move quickly and quietly, thus making early legal intervention critical.

David R. Chase, Esq., a former SEC enforcement attorney and seasoned SEC defense attorney, provides strategic, experienced legal representation to individuals and companies under investigation by the SEC. From his South Florida-based firm, Mr. Chase defends clients nationwide, including real estate professionals, corporate executives, scientists, engineers and investors in Phoenix’s diverse and rapidly growing economy.

What Is Insider Trading?

Insider trading is the unlawful act of buying or selling securities based on material, nonpublic information (MNPI) obtained in violation of a duty of trust or confidentiality. The SEC considers such conduct fraudulent when it gives an unfair advantage to the trader and undermines public confidence in the markets.

What are the two types of insider trading?

Classical Insider Trading

Involves a corporate insider—such as an executive or board member—trading on confidential company information or tipping someone else who does in breach of a duty. Both parties may be held liable if the tippee knew or should have known the information was shared improperly.

Misappropriation Theory

This takes place when someone with legal access to MNPI (such as a consultant, lawyer, or financial advisor) uses that information for personal securities trading in breach of a duty.

Consequences of insider trading can include:

Civil monetary penalties

Disgorgement of profits made or losses avoided

Officer and Director Bars

Federal criminal charges and imprisonment if the DOJ pursues the case

Why the SEC Targets Insider Trading in Phoenix

Phoenix is one of the fastest-growing metropolitan areas in the country and a major center for healthcare, technology, finance, and real estate. With its expanding base of publicly traded companies, investment firms, and high-level corporate activity, the city has increasingly attracted the attention of the SEC.

As financial and business operations in Phoenix continue to scale, the SEC actively monitors market activity tied to the region. Using whistleblower tips, trade data analytics, and inter-agency cooperation, the SEC can begin investigating suspected insider trading, and collecting evidence in support of a case, on a non-public basis.

If you’ve received a SEC subpoena or believe you may be under investigation, the time to secure experienced legal counsel is now.

Why You Need a Skilled SEC Defense Attorney

Defending against insider trading allegations requires more than general legal knowledge. It takes deep experience in, and knowledge of, the federal securities law, SEC investigative enforcement procedures, and strategic defense planning. David R. Chase brings this to the table for his clients.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase previously served in the SEC’s Enforcement Division in the position of Senior Counsel, where he led complex investigations involving insider trading and securities fraud. His experience gives him unique insight into how these cases are built and, more importantly how to they can be dismantled.

Focused SEC Defense Practice

After leaving the SEC, Mr. Chase built a law firm devoted exclusively to defending clients in SEC investigations. Insider trading defense has been, and continues to be, a core area of his national practice.

Nationwide Representation

Though based in Florida, Mr. Chase represents clients across the U.S., including in Phoenix. He handles subpoenas, responses to Wells Notices and settlement negotiations.

Personalized, Strategic Representation

Mr. Chase personally manages every case, tailoring defense strategies to the client’s specific circumstances and objectives, all with the ultimate goal of avoiding charges.

What to Do If You’re Being Investigated for Insider Trading

If you’ve received an SEC subpoena, a Wells Notice, or suspect you’re the subject of an insider trading investigation, you should not attempt to handle the matter alone. Anything you say to the SEC staff, even if well-intentioned, could irreparably damage your case.

David Chase will:

Advise you on your legal rights and obligations under the securities laws
Serve as your point of contact with SEC
Help you respond to subpoenas and gather necessary documents
Analyze the evidence and build a strong, proactive defense
Work to avoid you being charged or negotiate the best possible outcome if required

Working with a knowledgeable Phoenix insider trading lawyer early in the process is often the most important step you can take to protect yourself.

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

If you’re under investigation for insider trading or have received an SEC subpoena in Phoenix, don’t wait to secure representation. A highly experienced SEC defense attorney can help navigate you through the process and fight for a successful 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, prior insider trading case results, and focused securities defense services.

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