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What You Need to Consider While Under SEC Investigation

Under Investigation by the SEC, DOJ or FINRA?

If you are under investigation by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators or the Department of Justice (DOJ), stay calm. Your first move should be to call a knowledgeable attorney.

Contact The Law Firm of David R. Chase, P.A., in Fort Lauderdale, Florida, at 800-760-0912 for a free and confidential consultation. We will work to minimize any negative consequences and, in some cases, we may be able to prevent charges from being filed.

What You Should Do

If you are under investigation by the SEC, DOJ or FINRA, there are several important points to remember:

  • Hire an experienced securities defense lawyer. Though you may know a lawyer or already have an attorney for certain affairs, a real estate lawyer or a business attorney cannot properly defend you in this type of case. Speak to David R. Chase, whose practice is exclusively focused on securities law.
  • Stop talking. Do not talk about the investigation subject matter to anyone, with the exception of your attorney. Any conversations, including e-mail, phone and text correspondence could be used against you later.
  • Don’t destroy documents. Preserve all documents. If you destroy anything, you run the risk of being charged with obstruction of justice.

Contact The Law Firm of David R. Chase, P.A.

If you are being accused of securities fraud, such as insider trading, contact a defense attorney who has dedicated his career to securities law. Call The Law Firm of David R. Chase, P.A., at 800-760-0912 or compete our online form to schedule a free initial consultation. David R. Chase represents individuals and companies nationwide in DOJ, FINRA and SEC investigations, enforcement and administrative cases.