Washington DC Insider Trading Lawyer

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

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If you are under SEC investigation for insider trading in Washington, DC, the potential economic, reputational and professional ramifications can be severe. The U.S. Securities and Exchange Commission (SEC), often working in concert with the Department of Justice (DOJ), has historically aggressively investigated and prosecuted insider trading cases. These securities investigations are complex, high-stakes, and frequently well-developed before you are even aware of the investigation. Immediately engaging experienced and knowledgeable legal representation is thus critical.

David R. Chase, Esq., a former SEC enforcement attorney and nationally recognized SEC defense attorney, provides strategic, hands-on representation to individuals and companies under SEC investigation, including those under inquiry for insider trading. Based in South Florida, Mr. Chase defends clients nationwide, including corporate officers and directors, securities professionals, hedge fund managers, and investors in Washington, DC’s powerful financial, regulatory, and corporate sectors.

What Is Insider Trading?

Insider trading takes place when an individual buys or sells securities while in possession of material, nonpublic information (MNPI) obtained in violation of a breach of duty or relationship of trust and confidence. These cases are not limited to corporate executives, anyone who receives MNPI in violation of a breach and trades on it can be targeted by the SEC.

There are two legally recognized theories of insider trading:

Classical Insider Trading

Occurs when a corporate insider (such as an executive, director, or employee) uses confidential company information to trade securities, or tips someone else who does for a personal benefit. Both the tipper and the tippee may be held liable.

Misappropriation Theory

Applies when someone who lawfully comes into possession of material, non-public information (such as a lawyer, consultant, or advisor) misuses it to trade securities for personal gain in breach of a fiduciary and/or contractual duty.

The SEC imposes significant monetary remedies for illegal insider trading, which may include:

Significant civil monetary penalties

Disgorgement of ill-gotten profits or trading losses avoided

Officer and Director Bars

Federal criminal charges and potential imprisonment in DOJ prosecutions

Why the SEC Targets Insider Trading in Washington, DC

Washington, DC is the heart of the federal government and a major center for policy, regulation, finance, and international business. The city is home to numerous publicly traded companies, regulatory agencies, financial institutions, lobbying firms, and global organizations. This concentration of high-level professionals and sensitive information makes DC a prime focus for SEC enforcement.

The SEC maintains its headquarters in Washington, DC, actively monitoring financial markets, detecting suspicious trades, and pursuing insider trading investigations. Through advanced data analytics, its highly successful whistleblower program, and inter-agency cooperation, the SEC can initiate an investigation quietly and effectively.

If you’ve received an SEC subpoena or suspect you may be under SEC investigation, swift action to secure effective legal representation is essential to protect your rights.

Why You Need an Experienced SEC Defense Attorney

Successfully defending against insider trading allegations requires a deep, practical knowledge of the federal securities laws, SEC enforcement investigatory tactics and procedures. David R. Chase provides this unique combination of skills and insights, having worked on insider trading cases from both sides — as an SEC enforcement attorney and now as a defense lawyer.

Former SEC Enforcement Attorney

Mr. Chase served in the SEC’s Enforcement Division as a Senior Counsel, where he led complex insider trading and securities fraud investigations. His insider knowledge of the SEC’s methods is a powerful advantage for his clients.

Dedicated SEC Defense Practice

After leaving the SEC, Mr. Chase established a law firm solely focused on defending clients in SEC investigations. Insider trading defense is a core focus of his national practice.

Nationwide Representation

Although based in Florida, Mr. Chase routinely represents clients across the United States, including in Washington, DC. He regularly handles SEC subpoenas, Wells Notices, and SEC settlement negotiations.

Personalized, Strategic Defense

Every case is directly handled by Mr. Chase, who develops a customized legal strategy based on the client’s specific facts, goals, and risks, all of which is designed to avoid SEC charges.

What to Do If You’re Under Investigation for Insider Trading

If you’ve received an SEC subpoena, a Wells Notice, or believe you are being investigated for insider trading, do not speak with regulators without first consulting with an experienced Washington, DC insider trading lawyer. Even casual comments can have serious legal consequences.

David Chase will:

Advise you on your rights and obligations under the law
Serve as your point of contact with SEC enforcement staff
Assist with SEC subpoena compliance and document production
Analyze the evidence and build a strong, proactive defense
Negotiate with regulators to avoid charges or minimize penalties

Early legal intervention can significantly improve your chances of a favorable resolution.

Contact Washington DC Insider Trading Lawyer David R. Chase, Esq. Today

If you are facing insider trading allegations or have received an SEC subpoena in Washington, DC, don’t wait. A knowledgeable SEC defense attorney can protect your rights, reputation, and future.

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 background, successful case results, and SEC defense services.

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