Seattle 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 insider trading investigation in Seattle, you need to act quickly to protect your legal rights, professional reputation, and financial future. The U.S. Securities and Exchange Commission (SEC), typically working in coordination with the Department of Justice (DOJ), aggressively targets insider trading and develops its leads through data-driven surveillance, whistleblower tips and referrals from other securities regulatory agencies. These cases are serious, complex, and often built quietly before you ever receive a SEC subpoena.

David R. Chase, Esq., a nationally recognized SEC defense attorney and former SEC enforcement lawyer, represents individuals and businesses under SEC investigation across the United States, including in Seattle’s bustling tech and financial sectors. With deep insight into how the SEC builds its cases, Mr. Chase provides smart, aggressive, and personalized legal defense focused on achieving the best possible outcome for his clients.

What Is Insider Trading?

Illegal insider trading involves buying or selling securities based on material, nonpublic information (MNPI), in violation of a fiduciary duty or a duty of trust and confidence. The information may originate from within a company or through professional or personal connections, and it need not involve traditional insiders to be unlawful.

The SEC generally prosecutes two forms of insider trading:

Classical Insider Trading

Occurs when corporate insiders (e.g., executives, directors) trade on confidential company information, or tip others who then trade. If the tippee knew or should have known the information was shared in breach of a duty, both parties may face liability.

Misappropriation Theory

Applies when someone outside the company—such as a consultant, lawyer, or advisor, legally comes into possession of material, non-public information, but then misuses it for personal gain through securities trading in breach of a fiduciary or contractual duty.

Penalties for insider trading may include:

Civil penalties

Return of trading profits or losses avoided

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

Criminal charges and imprisonment if the DOJ prosecutes the case

Why the SEC Targets Insider Trading in Seattle

Seattle is a global center for innovation and home to some of the most influential tech, biotech, and aerospace companies in the world. With a large concentration of public companies, venture-backed startups, and investment professionals, the city generates constant flows of market-sensitive information. This makes it a natural target for SEC enforcement insider trading actions.

Whether involving high-level executives at major corporations or professionals working with proprietary financial or scientific data, the SEC is increasingly focused on detecting suspicious trading activity originating in or tied to Seattle. The agency uses artificial intelligence, whistleblower information, and market surveillance tools to identify potential securities law violations.

If you have been contacted by the SEC, or believe you may be under SEC investigation, time is of the essence.

Why You Need an Experienced SEC Defense Attorney

Insider trading cases require specific legal skills and insight that general criminal defense attorneys and civil litigation lawyers typically do not possess. David R. Chase has extensive experience on both sides of the SEC enforcement process and knows exactly how to navigate these investigations to zealously protect his clients.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase served in the SEC’s Enforcement Division as a Senior Counsel, where he led complex securities fraud investigations, including those involving insider trading. He knows the tactics SEC regulators use and how to fight back.

Focused SEC Defense Practice

After leaving the SEC, Mr. Chase dedicated his career to defending clients facing securities regulatory investigations. Insider trading has been, and continues to be, a core focus of his national legal practice.

Nationwide Representation

Although based in Florida, Mr. Chase is able to represent clients across the country, including in Seattle. He regularly handles SEC subpoenas, Wells Notices, and settlement negotiations with the SEC throughout the nation.

Personalized, Strategic Defense

Every case is directly handled by Mr. Chase, who creates customized legal strategies based on your specific facts and goals.

What to Do If You’re Under SEC Investigation

If you’ve received an SEC subpoena, a Wells Notice, or believe you are being investigated, do not speak to the SEC or any regulatory agency without first consulting with a qualified Seattle insider trading lawyer. Any statement you make could be used against you.

David Chase will:

Advise you of your legal rights and obligations under the federal securities laws
Serve as your direct point of contact with SEC
Assist you in responding to SEC subpoenas, including requests for documents
Carefully evaluate the evidence and build a proactive, strategic defense
Work to prevent formal charges being brought, or negotiate the best possible resolution when the circumstances require

Early legal intervention can often mean the difference between being charged and walking away unscathed.

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

If you’re facing insider trading allegations or have received an SEC subpoena in Seattle, do not wait to secure experienced representation. A skilled SEC defense attorney can help you protect your rights and defend your future.

Call David R. Chase, Esq. today at 800-760-0912 for a confidential consultation. Visit www.securitiesfrauddefense.net to learn more about Mr. Chase’s experience, case results, and exclusive focus on SEC enforcement defense.

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