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Practice Areas

SEC and FINRA Securities Regulatory Defense

Defense of SEC, FINRA, DOJ and State Securities Regulatory Inquiries, Investigations and¬†Enforcement Actions The Law Firm of David R. Chase represents those being investigated and prosecuted by the United States Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Department of Justice (DOJ) and state securities regulators […]

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 investments assets have been mismanaged resulting in financial loss. Typically, these cases are handled through FINRA arbitration on a contingency fee basis. Misconduct Comes in […]

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, by recruiting brokerage firms in exchange for several year employment commitments and promissory notes.¬† High expectations are then disappointed and critical promises are found to […]

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 regulators, including the Florida Office of Financial Regulation Division of Securities (Florida OFR). The Firm also represents registered representatives and stockbrokers that have Form U-4 […]