New Jersey Insider Trading Lawyer

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

Call Us Now: 800-760-0912

If you’re under investigation for insider trading in New Jersey, you could be dealing with serious legal, financial, and professional consequences. The U.S. Securities and Exchange Commission (SEC), often working in cooperation with the Department of Justice (DOJ), is known to aggressively pursue insider trading cases — frequently launching parallel civil and criminal proceedings. In these high-stakes matters, experienced judgment is critical.

David R. Chase, Esq., a nationally recognized SEC defense attorney, offers skilled and strategic representation to individuals accused of insider trading. As a former SEC enforcement attorney, Mr. Chase brings a unique insider’s perspective to the defense of these cases. Although his firm is based in South Florida, Mr. Chase represents clients nationwide, including those in New Jersey’s densely populated financial and business corridors.

What Is Insider Trading?

Insider trading involves trading securities while in possession of material, nonpublic information (MNPI) in breach of a duty of trust or confidentiality. The law applies to corporate insiders as well as those who receive inside information, such as friends, family members, or business partners who trade on tips.

There are two theories of insider trading recognized under the federal securities laws:

Classical Insider Trading

When a company insider trades on confidential company information, or shares that information with someone else who then trades. If the recipient (tippee) knew or should have known the information was shared in violation of a duty, both parties can be held liable.

Misappropriation Theory

Applies when someone legally receives inside information—such as an attorney, accountant, or advisor—and improperly uses it to trade for personal gain.

The potential consequences of insider trading include:

Civil monetary penalties

Disgorgement of trading profits

Bars, whether permanent or temporal, from serving as an officer or director of a public company

Criminal prosecution by the DOJ, including possible prison time

Why the SEC Targets Insider Trading in New Jersey

New Jersey is home to a wide range of financial institutions, pharmaceutical companies, publicly traded corporations, and professional services firms. Its proximity to Wall Street, along with its large base of corporate and investment professionals, makes it a frequent target for SEC enforcement.

With powerful analytics, whistleblower tips, and inter-agency coordination, the SEC can quietly begin building a case before you’re even aware of an investigation. By the time you receive a subpoena or are contacted by SEC staff, the agency may already have compiled substantial evidence against you.

The Importance of Hiring an SEC Defense Attorney

Defending against insider trading allegations requires more than general legal knowledge. It demands a deep understanding of securities law, SEC enforcement tactics, and the internal processes of the SEC. That’s exactly what David R. Chase offers.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase began his legal career at the SEC, where he led insider trading and securities fraud investigations. His direct experience gives him a rare edge in anticipating and countering the SEC’s strategy.

Focused Practice on SEC Defense

After leaving the Commission, Mr. Chase dedicated his career to defending clients targeted by the SEC. Insider trading defense has been a cornerstone of his national practice for the last twenty-five years.

Nationwide Representation

Based in South Florida, Mr. Chase represents clients across the U.S., including in New Jersey. He regularly is hired to defend SEC subpoenas, respond to Wells Notices and engage in settlement negotiations with the SEC to resolve cases.

Personalized, Strategic Defense

Every case is personally handled by Mr. Chase, who formulates a defense tailored to your specific facts, goals, and legal risks.

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

If you’ve been served with a subpoena, received a Wells Notice, or suspect that you’re the target of an SEC investigation, the most important step you can take is to expeditiously seek experienced SEC legal counsel. Speaking with regulators without an attorney can seriously harm your case.

David Chase can help by:

Advising you on your rights and obligations in a SEC investigation
Handling communications with the SEC on your behalf
Assisting with SEC subpoena compliance
Evaluating the evidence and building a proactive defense
Negotiating settlements with the SEC

Hiring a seasoned New Jersey insider trading lawyer at the earliest stage of an investigation can make all the difference in protecting your future.

Contact New Jersey Insider Trading Lawyer David Chase Today

If you are facing insider trading allegations or have received an SEC subpoena in New Jersey, don’t delay. Contact an experienced SEC defense attorney who understands the complexity of these cases and knows how to strategically navigate you through the process.

Call David R. Chase, Esq. today at 800-760-0912 for a confidential consultation. Visit www.securitiesfrauddefense.net to learn more about his background, results, and experience in SEC defense.

CALL TOLL FREE
800-760-0912