David R. Chase, P.A.
Call Us Now: 800-760-0912
David R. Chase, P.A.
Call Us Now: 800-760-0912


Just Received a SEC Subpoena?

Do You Need A SEC Investigation Lawyer?
SEC Defense Firm With Decades Of Experience
Three Critical Steps To Take Immediately

Call Us Now: 800-760-0912

Help from a SEC Subpoena Defense Lawyer & Former SEC Attorney

If you have just received a SEC Subpoena, it is critical that you immediately take three steps to ensure your interests are protected, and that you don’t inadvertently make your legal situation worse.

I know first-hand the shock and acute stress my clients experience when first receiving a SEC Subpoena — its natural and to be expected.  However, this can lead to serious lapses of judgment and very bad decisions/actions early on that may have irreparable consequences.  That is why it is absolutely imperative you immediately take these three strategic steps to ensure your interests are protected.  It could very well make the difference between a successful result or a disastrous outcome.

SEC Subpoena Defense Lawyer Step 1

First, immediately hire an experienced SEC attorney

Hire an experienced SEC attorney who knows how the SEC conducts its investigations, understands the intricacies of the federal securities and, most importantly, how to formulate and implement a defense strategy designed to beat the investigation.  I formerly worked as a SEC Prosecutor, have been practicing for thirty (30) years, and exclusively handle SEC defense and securities matters.

Ideally, your SEC defense lawyer should have previously worked at the SEC in its Enforcement Division, thus arming you with legal counsel that knows how the SEC operates from the inside, including how it determines whether to close an investigation or to recommend prosecution.   A former SEC prosecutor, like me, will also have the experience of seeing the investigatory process from both sides, a unique perspective providing you great benefit in the event you seek to either fight or settle with the SEC.   Many of my competitors have never worked at the SEC.

Your SEC defense lawyer should also be consistently accessible, attentive and focused on your case.  As a sole practitioner, I will always be your lawyer from inception to conclusion – nobody else.  You will not get a young lawyer learning on your dime, or even a senior lawyer who may not have expertise in SEC matters and/or worked at the SEC.  Bottom line: you don’t need a team of lawyers — you just need one really good one.

Subpoena Defense Lawyer Step 2

Second, stop talking.

You should not discuss the SEC investigation or its subject matter with anyone except your SEC legal counsel, the only individual with whom you can have a confidential, privileged conversation protected under law.  Any conversation you have (other than with your SEC defense lawyer) is non-privileged and may be discoverable by the SEC.  This particularly applies equally to written communications.  Bottom line, hunker down until your SEC defense attorney can learn the facts, communicate with the SEC on your behalf and formulate a strategy designed to diffuse the investigation.

SEC Subpoena Defense Attorney Step 2

Third, do not delete, destroy or otherwise tamper with documents.

Unfortunately, this sometimes happens once a SEC subpoena is received.  Doing so may constitute obstruction of justice and could elevate a very defensible civil SEC case very quickly to an indefensible federal criminal case.  Preserve all documents to avoid this costly mistake, and to ensure your SEC defense attorney can review all relevant and material information in order to best assess your legal situation and protect you.

Contact a SEC Subpoena Defense Lawyer

If you just received a SEC Subpoena, call me for a confidential, no-cost consultation.  I have achieved many successful results for my clients from around the nation and internationally over the years.  I defend all types of SEC investigations, including insider trading, crypto fraud, market manipulations and offering frauds.

Call now for a free and confidential consultation 800-760-0912.

Contact a SEC Subpoena Defense Lawyer

David R. Chase has been Quoted in the Following Publications