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 investigation around the nation.  Having worked at the SEC in its Enforcement Division as a Senior Counsel, David understands how the SEC conducts its inquiries, and prosecutes and settles its cases.

Utilizing this unique perspective, David zealously and strategically tailors a defense for each of his clients designed to either avoid charges, negotiate the best possible settlement terms or fight the SEC’s charges.  He skillfully navigates his clients though the SEC investigatory process with patience, advocacy and empathy.

David handles SEC investigations throughout the country involving insider trading, market manipulations, real estate and crypto offerings, Ponzi Schemes, investment advisor misconduct, among other matters.

If you have just received a SEC Subpoena or are currently under SEC investigation, David has the years of experience, judgment and knowledge to protect your interests and fight for your best possible outcome.

Articles on SEC Investigations & Radio Interview of David R. Chase on Insider Trading

• Radio Interview of David R. Chase on Insider Trading
• Successfully Defending SEC Insider Trading Investigation: A former Prosceutor’s “Insider” View
• Insider Trading: What the SEC Looks For
• When the SEC Comes Knocking:
• What You Need to Consider While Under SEC Investigation
• Visit The SEC-FINRA Defense Blog