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 for insider trading in Scottsdale, Arizona, your freedom, finances, and professional reputation may be at serious risk. The U.S. Securities and Exchange Commission (SEC), along with the Department of Justice (DOJ), have historically aggressively investigated and prosecuted illegal insider trading. These cases are often identified by market trading data analysis, and by the time you receive a SEC Subpoena, the SEC may have already developed significant evidence against you.
David R. Chase, Esq., a former SEC enforcement attorney and nationally recognized SEC defense attorney, provides strategic and personalized defense for individuals and companies under SEC investigations, including for insider trading. Located in South Florida, Mr. Chase defends clients across the country, including financial professionals, executives, and investors in Scottsdale’s rapidly growing financial and tech economy.
Insider trading occurs when someone buys or sells securities based on material, nonpublic information (MNPI) in breach of a fiduciary duty. While this often involves corporate insiders, liability can also extend to anyone who illegally trades or tips others using confidential information.
When a corporate insider (e.g., executive, director, or employee) trades based on nonpublic information or passes that information to someone else who trades in violation of a breach. Both the tipper and tippee can be held liable.
When someone with legal access to confidential information—such as a consultant, lawyer, or financial advisor—uses it improperly for securities trading in violation of either a fiduciary duty or confidentiality obligation.
Scottsdale has emerged as a financial and entrepreneurial hotspot in the Southwest. Known for its luxury real estate, investment advisory firms, fintech startups, and a significant number of high-net-worth residents, the city draws considerable attention from federal financial regulators. Scottsdale’s proximity to Phoenix and its growing community of venture-backed companies further enhances its profile.
With a high concentration of individuals involved in trading, financial services, and corporate leadership, the SEC carefully monitors activity connected to Scottsdale. Suspicious trading pattern, particularly those linked to market-moving news or confidential transactions, can quickly attract securities regulatory scrutiny.
If you’ve received an SEC subpoena or suspect you may be under investigation, now is the time to secure experienced legal representation.
SEC insider trading investigations are complex and involve high-stakes. You need a defense attorney with substantial experience, seasoned judgment, a thorough understanding of the federal securities laws and knowledge of how the SEC investigates and prosecutes. David R. Chase offers this unique combination.
If you’ve received an SEC subpoena, a Wells Notice, or believe you’re under investigation, do not speak to investigators before consulting legal counsel. Even seemingly innocent remarks can and will likely be used against you.
David Chase will:
Securing legal counsel early in the process can significantly improve your chances of avoiding charges.
If you are facing insider trading allegations or have received an SEC subpoena in Scottsdale, don’t wait. A veteran SEC defense attorney can help you protect your legal rights, career, and potentially avoid being charged.
Call David R. Chase, Esq. at 800-760-0912 today for a confidential consultation. You can also visit www.securitiesfrauddefense.net to learn more about his experience, prior successful insider trading investigation results, and his securities enforcement defense practice.
