Practice Areas

SEC and FINRA Securities Regulatory Defense

Defense of SEC, FINRA, DOJ and State Securities Regulatory Inquiries, Investigations and Enforcement Actions David R. Chase is a Securities Regulatory Defense Lawyer who represents those […]

Representation of Defrauded Securities Investors

Representation of Defrauded Securities Investors The Firm represents customers of securities brokerage firms, investment advisory firms and hedge funds who have been defrauded or whose […]

Representation of Financial Advisors in Promissory Note Cases

Registered representatives are often promised lucrative careers, fabulous platforms, significant resources, large travel budgets and access to many financial products, coupled with significant upfront monies, […]

Securities Licensing Issues/Form U-4 and U-5 Disclosure Issues

The Firm, headed by SEC attorney David R. Chase, represents stockbrokers, financial advisors and registered representatives in securities licensing and registration issues with state securities […]

FINRA Defense Lawyer

FINRA Investigations: The Process Explained If you are under investigation by the Financial Industry Regulatory Authority, it is critical that you understand the process by […]

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 […]

SEC Investigations: The Process Explained

If you are under investigation for insider trading, offering frauds, Ponzi Schemes, or stock manipulations, by the Securities and Exchange Commission, it is critical that you […]

Insider Trading Defense Lawyer

Under SEC Investigation for Insider Trading? What You Need to Know The SEC takes insider trading extremely seriously and has historically made it a key […]

Stock Manipulation

Stock Manipulation and Pump and Dump Schemes The Securities and Exchange Commission has historically devoted substantial enforcement resources to investigating and prosecuting stock manipulations, commonly […]