David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are the target of an insider trading investigation in San Diego, you could be facing severe legal, financial, and reputational consequences. The U.S. Securities and Exchange Commission (SEC), often in partnership with the Department of Justice (DOJ), aggressively investigates and prosecutes insider trading cases utilizing its sophisticated surveillance systems and vast legal resources. When your professional and financial future is at risk, being represented by an experienced legal advocate is critical to protecting your rights and may make the difference between being charged or walking away unscathed.
David R. Chase, Esq., a former SEC enforcement attorney and nationally respected SEC defense attorney, offers skilled and strategic legal representation to clients accused of insider trading. With three decades of experience and an exclusive focus on SEC and securities fraud defense, Mr. Chase represents individuals and businesses under SEC investigation across the country, including financial service professionals, hedge fund managers and corporate executives in San Diego’s dynamic biotech, software technology, and financial sectors.
Insider trading is illegal and occurs when a person buys or sells securities based on material, nonpublic information (MNPI), in violation of a duty of trust or confidence. These often involve corporate insiders, company employees, consultants, or individuals who receive and act on improperly shared information.
When corporate insiders, namely corporate executives, officers, or directors, trade on material, non-public company information, or share that information with others (tippees) who then trade. Both parties (the tipper and tippee) may be held liable.
Applies when someone who has been legally entrusted with MNPI, such as an attorney, accountant, or advisor, misuses that information for personal securities trading in breach of a duty.
San Diego is home to a thriving life sciences and biotech industry, as well as a growing technology and financial services sector. Many of the city’s businesses are publicly traded or work closely with public companies, creating a steady flow of market-sensitive information. With this comes heightened scrutiny from the SEC, which closely monitors financial activity in the region.
San Diego’s robust investment and innovation landscape, along with its proximity to major West Coast financial centers, makes it a natural focus for securities enforcement. The SEC often uses data analysis, anonymous whistleblower tips, and coordination with other securities regulators to launch non-public investigations that may be well substantially underway before the subject is even contacted. If you’ve received a SEC subpoena or suspect you’re under SEC investigation, it is critical to engage experienced counsel immediately to best protect your interests .
Defending against insider trading allegations, or SEC investigations involving stock manipulation, crypto fraud, accounting fraud, misappropriation of client funds or Ponzi schemes, requires more than just general legal defense knowledge. Rather, it demands a deep experience in securities regulation, SEC procedures, and complex, white-collar federal investigations. This is precisely what David R. Chase brings to the table for each client.
If you have received an SEC subpoena, a SEC Wells Notice, or believe you are being investigated for insider trading or other forms of securities fraud, the most important step you can take is to speak with a qualified San Diego insider trading lawyer before engaging with the SEC. Attempting to explain or clarify your actions to the SEC without counsel can result in irreversible damage to your case.
David Chase will:
Taking swift action and involving an experienced defense attorney at the earliest stage can significantly improve your chances of a successful resolution.
If you are facing an insider trading investigation or have received an SEC subpoena in San Diego, don’t wait. Protect your rights, reputation, and future by retaining an experienced and knowledgeable SEC defense attorney.
Call David R. Chase, Esq. today at 800-760-0912 for a confidential consultation. Visit www.securitiesfrauddefense.net to learn more about his background, practice areas, and successful case results.
