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David R. Chase is a former SEC Enforcement Attorney and former Special Assistant US Attorney with more than 30 years of experience defending high-net worth individuals, executives, companies, and financial professionals in SEC investigations.

In these videos, David shares his practical insights and seasoned strategic perspectives on SEC investigations, subpoenas, Wells Notices, insider trading, SEC and DOJ parallel investigations, and other securities enforcement matters.

Should you settle with the SEC or go to court? If you are facing an SEC enforcement action or have received a Wells Notice, deciding whether to negotiate a settlement or litigate the matter is one of the most critical decisions of your professional career. In this video, former SEC Enforcement Division Senior Counsel David R. Chase breaks down the key strategic, financial, and legal factors corporate executives, brokers, and investment advisors must weigh before deciding to fight or settle a SEC enforcement action. Schedule a Confidential Consultation with David R. Chase, P.A., Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide defense representation in all major financial centers, including Miami, West Palm Beach, New York, San Francisco, Chicago, Washington, DC, Dorado and San Diego. ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by David R. Chase, a former SEC Prosecutor, Special Assistant U.S. Attorney, and Band 1 Chambers-ranked securities attorney, our boutique defense firm specializes in keeping investigations contained. With over 30 years of experience, we provide direct, partner-level representation to protect institutional traders, corporate officers, and market professionals across all 50 states. #SECInvestigation #WellsNotice #SecuritiesDefense #FormerSECProsecutor #SecuritiesLawyer #LitigateVsSettle Should I Settle with the SEC or Go to Court? Key Considerations

Should I Settle with the SEC or Go to Court? Key Considerations

Are you facing parallel investigations by both the SEC and the DOJ? When a civil regulatory inquiry by the Securities and Exchange Commission transforms into a concurrent federal criminal investigation by the Department of Justice, your defense strategy must adapt to address this dual exposure. In this video, former SEC Enforcement Division Senior Counsel and former Special Assistant U.S. Attorney David R. Chase breaks down the critical strategic defense considerations required to protect your rights, your liberty, and your financial career when navigating simultaneous civil and criminal proceedings. Schedule a Confidential Consultation with David R. Chase, P.A., Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide defense representation with active hubs in Fort Lauderdale, Miami, West Palm Beach, St. Louis, New York, Chicago, and Seattle. ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by David R. Chase, a former SEC Prosecutor, former federal criminal securities fraud prosecutor, and Band 1 Chambers-ranked attorney, my boutique sec defense firm handles complex, high-stakes investigations. With over 30 years of securities law experience, including work at Greenberg Traurig, I provide exclusive, dedicated one-on-one representation to protect financial professionals, corporate executives, and market participants across all 50 states on a flat-fee basis. #SECInvestigation #DOJInvestigation #ParallelProceedings #SecuritiesDefense #SecuritiesFraud #FormerSECProsecutor Facing Parallel Investigation by Both the SEC & DOJ? Strategic Insights

Facing Parallel Investigation by Both the SEC & DOJ? Strategic Insights

Should you cooperate with the SEC or assert your legal rights? If you are facing an SEC investigation, understanding how the Commission evaluates cooperation is critical to minimizing legal exposure. In this video, former SEC Enforcement Division Senior Counsel David R. Chase breaks down the strict criteria SEC regulators use to award cooperation credit, including reduced charges or financial penalties, balanced against protecting your legal rights. Schedule a Confidential Consultation with David R. Chase, P.A., Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide defense representation with active hubs in Fort Lauderdale, Miami, West Palm Beach, New York, Chicago, San Francisco and Los Angeles. ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by David R. Chase, a former SEC Prosecutor, Special Assistant U.S. Attorney, and Band 1 Chambers-ranked securities attorney, our boutique defense firm specializes in keeping regulatory inquiries contained. With over 30 years of specialized experience, we provide direct, partner-level representation to protect financial professionals, corporate executives, and market participants across all 50 states. #SECInvestigation #SECCooperation #SecuritiesDefense #FormerSECProsecutor #SecuritiesLawyer #SeaboardReport Should I Cooperate with the SEC? The Risks and Rewards Explained

Should I Cooperate with the SEC? The Risks and Rewards Explained

Have you received an SEC Wells Notice? Finding out that the SEC’s Division of Enforcement intends to recommend formal civil charges against you or your firm is a critical legal crisis that requires immediate, calculated action. In this video, former SEC Enforcement Division Senior Counsel David R. Chase explains exactly what an SEC Wells Notice means, its legal significance, and how to strategically utilize the narrow window you have to submit a Wells Submission to persuade the Commission to drop the case. Schedule a Confidential Consultation with David R. Chase, P.A.,:Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net. Nationwide defense representation in all the financial centers, including Miami, Austin, New York, San Francisco, Chicago, and Dorado. SEC WELLS NOTICE STRATEGIC BREAKDOWN: Received an SEC Wells Notice? What to Do Next What is a Wells Notice? Defining the Enforcement Staff's Intentions The Legal Significance: Charging Recommendations vs. Final Commission Authorization The Strict Timeline: How Much Time Do You Have to Respond? What is a Wells Submission? Crafting a Formal Legal and Factual Brief Risks and Rewards: A Wells Response Be Counterproductive or Can Result in a No Action Letter ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by David R. Chase, a former SEC Prosecutor, Special Assistant U.S. Attorney, Band 1 Chambers-ranked securities defense attorney, and former Greenberg Traurig lawyer, my boutique SEC law firm handles high-stakes, complex regulatory investigations, with a focus on insider trading defense. With over 30 years of experience, I provide direct, one-on-one representation from inception to conclusion to protect your financial and professional interests. Nationwide representation. #WellsNotice #SECInvestigation #SecuritiesDefense #FormerSECProsecutor #SecuritiesLawyer #WellsSubmission #insidertrading Did You Receive a SEC Wells Notice? What You Need to Know Now

Did You Receive a SEC Wells Notice? What You Need to Know Now

Are you currently under SEC investigation? If you have been contacted by regulatory investigators or served with a subpoena, understanding the regulatory timeline is critical to protecting your career, assets, and reputation. In this video, former SEC Enforcement Division Senior Counsel David R. Chase breaks down the mechanics of an SEC inquiry, outlining the vital legal steps that must be taken immediately to avoid or mitigate potential legal exposure. Schedule a Confidential Consultation with David R. Chase, P.A., Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide defense representation in all major financial centers, including Miami, West Palm Beach, New York, Chicago, Washington, DC, Austin and San Francisco. ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Founded by David R. Chase, a former SEC Prosecutor and Special Assistant U.S. Attorney with over 30 years of securities law experience, and Band 1 Ranked by Chambers and Partners, my boutique SEC defense firm represents individuals, institutional traders, investment advisers, and corporate executives nationwide. Handling complex enforcement matters involving insider trading, market manipulation, stock fraud, and DOJ parallel investigations. #SECInvestigation #SECSubpoena #SecuritiesDefense #FormerSECProsecutor #SecuritiesLawyer #WellsNotice Under SEC Investigation? What You Need to Know

Under SEC Investigation? What You Need to Know

Seeking a top-tier SEC defense law firm for nationwide representation? When your career, assets, and reputation are placed directly at risk by a federal regulatory inquiry, the professional background and experience of your defense counsel is the most critical factor in your case. In this video, SEC defense lawyer David R. Chase outlines his boutique securities defense practice, detailing how his firsthand perspective from inside the federal government helps shape proactive defense strategies to successfully counter SEC, DOJ, and FINRA investigations. Schedule a Confidential Consultation with David R. Chase, P.A.: Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://securitiesfrauddefense.net Nationwide defense representation in all financial hubs, including Miami, West Palm Beach, New York, New Jersey, Chicago, Atlanta, and San Diego. ABOUT LAW FIRM OF DAVID R. CHASE Institutional Edge: Serving as Senior Counsel in the SEC Enforcement Division Federal Criminal Insight: Experience as a Special Assistant U.S. Attorney BigLaw Foundations: Sophisticated Securities Defense at Greenberg Traurig Independent Credentials: Ranked Band 1 by Chambers and Partners Academic Focus: Adjunct Law Professor at the University of Miami School of Law Complete Legal Cost Certainty: Transparent Flat-Fee Legal Representation No Junior Handoffs: WorkiDirectly and Exclusively with David R. Chase DEFENSE CAPABILITIES AND FIRM BIOGRAPHY Founded by nationally prominent securities defense attorney David R. Chase, our boutique firm provides exclusive representation to financial professionals, institutional traders, investment advisers, and publicly traded corporate officers across all 50 states. Representation in cases involving insider trading, market manipulation, stock fraud, and securities law violations. #SECDefenseLawyer #FormerSECProsecutor #SecuritiesDefense #DavidRChase #SecuritiesLawfirm #SECEnforcement Need a SEC Defense Attorney? About The Law Firm of David R Chase - SEC Defense Law Firm

Need a SEC Defense Attorney? About The Law Firm of David R Chase - SEC Defense Law Firm

When does a civil SEC investigation turn into a federal criminal case? If you are under investigation by the Securities and Exchange Commission, understanding the triggers that cause regulators to coordinate with the Department of Justice (DOJ) is critical to avoiding a criminal indictment. In this video, former SEC Enforcement Division Senior Counsel and former Special Assistant U.S. Attorney David R. Chase breaks down the warning signs of criminal exposure, explaining how the SEC shares evidence with federal prosecutors and how to build a defense that recognizes and accounts for parallel criminal risks early. Schedule a Confidential Consultation with David R. Chase, P.A.:Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide securities defense representation, including Miami, Washington, DC, New York, New Jersey, Chicago, San Francisco, Boston and San Diego. ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by David R. Chase, a former SEC Prosecutor, Special Assistant U.S. Attorney, and Band 1 Chambers-ranked attorney, our boutique defense firm strives to defuse or otherwise contain high-stakes regulatory investigations. With over 30 years of experience, I provide direct, representation on a transparent flat fee basis to protect financial professionals, corporate executives, and market participants across all 50 states. #SECInvestigation #DOJInvestigation #CriminalSecuritiesFraud #SecuritiesDefense #FormerSECProsecutor #ParallelProceedings When Does a SEC Investigation Turn into a Federal Criminal Inquiry?

When Does a SEC Investigation Turn into a Federal Criminal Inquiry?

What are the critical mistakes made during an SEC investigation? If you have received an SEC subpoena, a containable civil matter can quickly escalate into parallel criminal exposure with the DOJ absent a calculated defense strategy. Schedule a Confidential Consultation with David R. Chase, P.A., Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide defense representation in all major financial centers, including Miami, West Palm Beach, New York, New Jersey, Chicago, Washington, DC, Austin and San Diego. In this video, former SEC Enforcement Division Senior Counsel David R. Chase outlines the most damaging legal and strategic mistakes corporate executives, financial professionals, and individual investors can make during an inquiry. Critical Mistakes in SEC Investigations: Mistake #1: Speaking to the SEC Without Defense Counsel Mistake #2: Document Destruction & Failing to Preserve Records Mistake #3: Discussing the SEC Subpoena with Non-Attorneys Mistake #4: Ignoring Potential Parallel DOJ Criminal Exposure ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by former SEC Prosecutor David R. Chase, and Adjunct Professor of Law teaching SEC Investigations at the University of Miami School of Law, my boutique SEC defense law firm provides exclusive representation to protect your career, assets, and reputation when under regulatory scrutiny. Defending matters involving insider trading, market manipulation, stock fraud, and investment adviser violations across Florida and all 50 states. #SECInvestigation #SECSubpoena #SecuritiesDefense #FormerSECProsecutor #SecuritiesFraud Lawyer What are the Critical Mistakes to Avoid in a SEC Investigation?

What are the Critical Mistakes to Avoid in a SEC Investigation?

How does the SEC make formal charging decisions? If your or your firm is under regulatory scrutiny, understanding how an investigation moves from an enforcement staff recommendation to an official enforcement action is vital to building a proactive defense. In this video, former SEC Enforcement Division Senior Counsel David R. Chase lifts the veil on the SEC's internal review process, detailing the path an investigation takes and how to effectively defend to avoid charges. Schedule a Confidential Consultation with David R. Chase, P.A.:Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide securities defense representation around the country, including St. Louis, Charlotte, Miami, New York, New Jersey, Chicago, San Francisco and Atlanta. THE SEC'S INTERNAL CHARGING DECISION MAKING EXPLAINED FROM A FORMER SEC ENFORCEMENT ATTORNEY INSIDER. ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by David R. Chase, a former SEC Prosecutor, Special Assistant U.S. Attorney, and Band 1 Chambers-ranked securities attorney, my boutique SEC defense firm representations financial professionals, high-net worth individuals, corporate executives, and market participants across all 50 states with a focus on the defense of insider trading probes. #SECInvestigation #SECChargingDecisions #SecuritiesDefense #FormerSECProsecutor #SecuritiesLawyer #WellsSubmission #insidertrading How Does the SEC Make Formal Charging Decisions?

How Does the SEC Make Formal Charging Decisions?

What does the SEC need to prove to win an insider trading case? If you are facing an SEC investigation, understanding the legal elements of an insider trading charge is critical to building an effective defense strategy. Schedule a Confidential Consultation with David R. Chase, P.A., Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide defense representation in all major financial centers, including Miami, West Palm Beach, New York, New Jersey, Chicago, Washington, DC, Austin and San Diego. In this video, former SEC Enforcement Division Senior Counsel David R. Chase breaks down the strict burden of proof SEC regulators must establish, detailing how the SEC tracks trading data and what strategic legal defenses can successfully beat their theories. HOW THE SEC PROVES INSIDER TRADING: Legal Elements of an SEC Insider Trading Case Element 1: Possessing Material Non-Public Information (MNPI) Element 2: Breach of a Fiduciary Duty or Duty of Trust Element 3: The "Scienter" Requirement & Intent to Defraud How the SEC Uses Trading Data Analytics & Timelines Classical Theory vs. Misappropriation & Shadow Trading Theories Strategic Legal Defenses to Counter SEC Charges Why You Need a Former SEC Prosecutor in Your Corner ABOUT LAW FIRM OF DAVID R. CHASE, P.A. Led by David R. Chase, a former SEC Prosecutor and Special Assistant U.S. Attorney with more than 30 years of enforcement defense law experience, my boutique firm provides exclusive, representation on a flat-fee basis. Representing corporate executives, institutional traders, investment advisers, and high-net worth individuals nationwide in high-stakes SEC, DOJ, and FINRA investigations. #InsiderTrading #SECInvestigation #SecuritiesDefense #FormerSECProsecutor #SecuritiesLawyer #MNPI What Does the SEC Need to Prove to Win an Insider Trading Case?

What Does the SEC Need to Prove to Win an Insider Trading Case?

Did you just receive an SEC subpoena? Getting served with a formal request for documents or testimony from the Securities and Exchange Commission is a legal crisis that requires immediate, calculated action to protect your career, assets, and reputation. In this video, former SEC Enforcement Division Senior Counsel David R. Chase lays out the critical first steps you must take to maintain strategic control over the inquiry, avoid costly self-inflicted mistakes, and position your matter for a favorable resolution or case closure. Schedule a Confidential Consultation with David R. Chase, P.A.: Fort Lauderdale Based Call toll-free: 800-760-0912 Visit our website: https://www.securitiesfrauddefense.net Nationwide securities defense representation in all active financial centers, including Miami, West New York, New Jersey, Chicago, Los Angeles, San Francisco and San Diego. SEC SUBPOENA EMERGENCY CHECKLIST: Received a SEC Subpoena? Immediate Next Steps Step 1: Read the Subpoena (Target vs. Witness Status) Step 2: Cease All Non-Privileged Communications About the Inquiry Step 3 - Preserve, Don't Delete, Text Messages, Emails, and Chat Logs Step 4 - The Testimony Trap: Why You Must Never Speak to the SEC Unrepresented Step 5- Why Hiring a Former SEC Prosecutor Matters (Institutional Insight) Step 6 - Complete Cost Certainty: Our Transparent Flat-Fee Structure ABOUT LAW FIRM OF DAVID R. CHASE Led by David R. Chase, a former SEC Prosecutor, Special Assistant U.S. Attorney, and Band 1 Chambers-ranked securities attorney, my SEC boutique defense experience spans over 30 years. Representing high-net worth individuals, financial professionals, corporate executives, hedge fund managers and market participants across all 50 states on a flat fee basis, with a concentration on defending insider trading investigations. #SECSubpoena #SECInvestigation #SecuritiesDefense #FormerSECProsecutor #SecuritiesLawyer #LegalDefense #insidertrading Did You Receive an SEC Subpoena? Next Critical Steps to Take

Did You Receive an SEC Subpoena? Next Critical Steps to Take

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Media Interviews

January 18, 2023

David Chase on Morning Rush Discussing Elon Musk Trial – January 2023

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January 28, 2022

David Chase, Esq. on Bloomberg TV News 1-27-2022

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November 15, 2021

David Chase Interview on CBC Regarding Elon Musk Selling Tesla Stock

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July 2, 2021

David Chase on Bloomberg TV News 7-1-2021

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January 29, 2021

David Chase on Bloomberg TV News

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January 29, 2021

David Chase interviewed by the Canadian Broadcasting Corporation

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