Successful Results

Click the icon to view the actual SEC closing letter in which the SEC declined to bring charges (redacted for confidentiality).

SEC Defense

SEC Declines to Prosecute in Real Estate Offering

SEC Defense

SEC Declines to Prosecute Proposed Relief Defendant After Wells Notification

SEC Defense

SEC Declines to Prosecute Chief Compliance Officer of Investment Advisor

SEC Defense

SEC Declines to Prosecute Client In Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Investment Advisor

SEC Defense

SEC Declines to Prosecute Client In Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Client In Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Client In Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Client In Market Manipulation Investigation

SEC Defense

SEC Declines to Prosecute Client In Securities Offering Fraud Investigation

SEC Defense

SEC Declines to Prosecute Client in Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute in Securities Offering Fraud Investigation

SEC Defense

SEC Declines to Prosecute Start-Up Venture And Its Principals

SEC Defense

SEC Declines to Prosecute Securities Broker-Dealer

SEC Defense

SEC Declines to Prosecute CEO in Initial Coin Offering (ICO)

SEC Defense

SEC Declines to Prosecute Clients in Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Alleged Unregistered Securities Broker

SEC Defense

SEC Declines to Prosecute Alleged Unregistered Broker-Dealer

SEC Defense

SEC Declines to Prosecute Escrow Agent

SEC Defense

SEC Declines to Prosecute Investment Advisor

SEC Defense

SEC Declines to Prosecute Client in Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Client in Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Client in Insider Trading Investigation

SEC Defense

SEC Declines to Prosecute Investment Advisory Firm

SEC Defense

SEC Declines to Prosecute Hedge Fund Manager

SEC Defense

SEC Declines to Prosecute Hedge Fund

SEC Defense

SEC Declines to Prosecute Hedge Fund Manager

SEC Defense

SEC Declines to Prosecute General Counsel in Securities Offering Fraud Investigation

SEC Defense

SEC Declines to Prosecute Corporate Officer in Securities Offering Fraud Investigation

SEC Defense

SEC Declines to Prosecute Publicly Traded Company in Securities Offering Fraud Investigation

SEC Defense

SEC Declines to Prosecute Investment Advisory Firm

**The above are recent successful results achieved by the Law Firm of David R. Chase, P.A.
Be advised, however, that every case is different and these results, while accurate, cannot predict the ultimate result in your case.