David R. Chase, P.A.
Call Us Now: 800-760-0912
Call Us Now: 800-760-0912
If you are under an insider trading investigation by the SEC in Connecticut, your financial security, career, and reputation may be at serious risk. The U.S. Securities and Exchange Commission (SEC), often times in tandem with the Department of Justice (DOJ), aggressively investigates and prosecutes insider trading cases. These inquiries are complex, high-stakes, and often well-developed before you even become aware that you are under SEC investigation. Immediately retaining an experienced and knowledgeable securities defense lawyer is thus critical.
David R. Chase, Esq., a nationally known and lauded SEC defense attorney and former SEC enforcement lawyer, provides strategic, personalized defense for individuals and companies under SEC investigation, including for insider trading. While located in South Florida, Mr. Chase defends clients nationwide, including those in the hedge fund and private equity space, as well as investors and financial advisors in Connecticut’s thriving investment, financial, and corporate sectors.
Insider trading takes place when someone buys or sells securities based on material, nonpublic information (MNPI) obtained in violation of a fiduciary duty or relationship of trust and confidence. The SEC aggressively seeks to identify and prosecute insider trading to maintain market integrity and protect investors.
Involves corporate insiders (such as executives, board members, or employees) who trade based on MNPI, or tip someone who then trades knowing the tip is based upon a breach of duty. Both parties, the tipper and tippee, may be held liable.
Applies when one lawfully comes into possession of MNPI, such as a lawyer, consultant, or financial advisor, and then trades on it for personal gain in breach of a fiduciary duty or confidentiality contractual provision.
Connecticut is home to one of the nation’s most active financial services sectors, including hedge funds, investment firms, private equity groups, and wealth management offices. Cities like Stamford and Greenwich are known as global centers for hedge funds and financial advisory services. This high concentration of financial professionals and institutional investors makes Connecticut a prime target for SEC enforcement.
The SEC monitors trading activity in Connecticut closely, using advanced data analytics, whistleblower tips, and inter-agency cooperation to identify suspicious trading patterns that may evidence illegal insider trading. Even those who are not corporate insiders can become targets of an investigation if they are suspected of receiving and acting on confidential information.
If you have received an SEC subpoena or believe you are under investigation, the early retention of SEC defense counsel is critical to protecting your rights.
Defending against insider trading allegations requires deep knowledge of securities law, SEC enforcement procedures, and federal litigation strategies. David R. Chase has three decades of experience handling these cases from both sides of the table — as an SEC enforcement attorney and as a dedicated defense lawyer.
If you have received an SEC subpoena, a SEC Wells Notice, or believe you may be the subject of an insider trading investigation, do not speak with SEC enforcement staff without first consulting a seasoned Connecticut insider trading lawyer. Even well-intentioned comments you make to the SEC when you are unrepresented may irreparably harm your case.
David Chase will:
If you are facing insider trading allegations or have received an SEC subpoena in Connecticut, don’t wait. A knowledgeable SEC defense attorney can protect your rights and help you successfully navigate the process.
Call David R. Chase, Esq. at 800-760-0912 for a confidential consultation. You can also visit www.securitiesfrauddefense.net to learn more about his background, successful cases that resulted in no charges, and his SEC defense services.
