David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are under SEC investigation for insider trading in St. Louis, it’s critical to immediately secure experienced legal counsel. The U.S. Securities and Exchange Commission, often in parallel action with the Department of Justice (DOJ), aggressively investigates insider trading using powerful surveillance tools, tips and vast law-enforcement resources. These cases often move swiftly and quietly and thus when you are finally contacted, the SEC usually has accumulated significant evidence.
David R. Chase, Esq., a nationally known and recognized SEC defense attorney and former SEC enforcement lawyer, provides strategic, experienced representation to clients accused of insider trading. From his South Florida-based firm, Mr. Chase represents individuals and companies nationwide, including financial services professionals, corporate executives, pharmaceutical employees and investors in St. Louis’s financial, biotech, and corporate sectors.
Insider trading consists of the buying or selling of securities based on material, nonpublic information (MNPI) in breach of a duty.
Occurs when a corporate insider—such as an executive, board member, or employee—uses MNPI to trade or tips someone else who trades. A provider of MNPI is known as a “tipper”, and the recipient a “tippee.” A tipper may be responsible for the profits made or losses avoided by the tippee and any remote tippees.
Involves someone who legally obtains confidential information (like a lawyer, accountant, or consultant) but then misuses it to trade securities for personal gain in violation of a breach of fiduciary duty or confidentiality.
St. Louis is a major Midwestern business and financial center, home to several Fortune 500 companies, financial services firms, biotech companies, and investment organizations. The city has a growing innovation sector, fueled by healthcare, pharmaceuticals, agtech, and logistics. This sophisticated level of corporate activity, combined with the presence of public companies and financial professionals, places St. Louis firmly on the SEC’s radar.
With the SEC’s increased reliance on data analytics and whistleblower tips, individuals tied to confidential information, from corporate insiders to external advisors, may find themselves the subject of an sec investigation before they are even aware of it. If you’ve received a sec subpoena or believe you may be under scrutiny, now is the time to consult an experienced attorney.
Insider trading allegations demand specific legal knowledge that goes far beyond a general legal practice. You need someone who understands the rules, procedures, and SEC enforcement strategies. David R. Chase provides precisely that advantage, having handled these cases from both sides of the table.
If you’ve received an SEC subpoena, a Wells Notice, or suspect you may be the subject of an insider trading investigation, do not engage with investigators without experienced counsel. Even well-meaning responses can irreparably harm your case.
David Chase will:
Hiring a knowledgeable St. Louis insider trading lawyer at the earliest stage of an investigation can increase the likelihood of a dramatically improved outcome.
If you’re facing insider trading allegations or have received an SEC subpoena in St. Louis, don’t wait. Speak with an experienced SEC defense attorney who knows how to navigate the complex and high-stakes world of securities enforcement.
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 SEC background, practice areas, and past insider trading case results.
