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Securities Regulatory Defense LawyerSEC and FINRA Securities Regulatory Defense

SEC and FINRA Securities Regulatory Defense

David Chase, Esq. is a nationally recognized SEC defense attorney who for over the last 25 years has successfully represented individuals and companies under SEC […]
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DOJ Securities Fraud DefenseDOJ Securities Fraud Defense

DOJ Securities Fraud Defense

When can an SEC investigation turn into a criminal investigation? Not all SEC cases go criminal. That’s important to understand. However, some do. There are […]
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SEC and FINRA Investigating Insider Trading into Public Company Announcements of Crypto Treasury Strategies

SEC and FINRA Investigating Insider Trading into Public Company Announcements of Crypto Treasury Strategies

I was recently interviewed and quoted by the Wall Street Journal on the SEC’s and FINRA’s reported investigations concerning potential insider trading and Regulation Fair Disclosure […]
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Defending a Series 7 Registered Representative in a SEC Investigation – One More Thing to Worry About

Defending a Series 7 Registered Representative in a SEC Investigation – One More Thing to Worry About

It is challenging enough representing an individual in a SEC investigation, but the complexities are amplified when the subject of the investigation is a Series […]
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FINRA defense lawyerFINRA Defense Lawyer

FINRA Defense Lawyer

FINRA Defense Attorney: Strategic Guide for Investigations, OTRs, and Wells Notices Facing a regulatory inquiry from the Financial Industry Regulatory Authority (FINRA) is a high-stakes […]
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SEC Whistleblower RepresentationSEC Whistleblower Representation

SEC Whistleblower Representation

The Firm represents individuals on a contingency fee basis who seek to file whistleblower claims with the SEC and CFTC. The SEC and CFTC Whistleblower Programs provide monetary […]
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SEC Defense LawyerSEC Investigations: The Process Explained

SEC Investigations: The Process Explained

The SEC Investigation Timeline & Process Understanding the stages of an SEC enforcement action is vital to building an effective defense strategy. [1] Information Request/Subpoena […]
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Insider Trading LawyerInsider Trading Lawyer

Insider Trading Lawyer

Navigating an SEC Insider Trading Investigation: What You Need to Know Core Definition: Insider trading involves buying or selling securities while in possession of material, […]
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Stock Manipulation Defense LawyerStock Manipulation

Stock Manipulation

How SEC Investigations Target Pump-and-Dump Schemes Core Definition: A pump-and-dump scheme is an illegal market manipulation tactic designed to promote microcap or penny stocks, ETFs […]
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