Raleigh Insider Trading Lawyer

Under SEC Investigation for Insider Trading?
What You Need to Know

Call Us Now: 800-760-0912

If you are under investigation by the SEC for insider trading in Raleigh-Durham or in North Carolina’s Research Triangle, it is critical you retain experienced and knowledgeable legal counsel to protect your interests. The U.S. Securities and Exchange Commission aggressively looks for, investigates and prosecutes insider trading using cutting-edge surveillance, big data analytics to identify suspicious trading patterns, and confidential whistleblower tips. These securities fraud investigations are non-public and may proceed for months before you’re contacted by the SEC.

David R. Chase, Esq., a former SEC enforcement attorney and nationally respected SEC defense attorney, provides strategic and personalized representation for individuals and companies subject to SEC investigation, including insider trading. Based in Florida, Mr. Chase defends clients nationwide, including engineers, corporate executives, financial services professionals, and investors in Raleigh-Durham’s expanding tech, biotech, and financial sectors.

What Is Insider Trading?

Insider trading occurs when one buys or sells securities based on material, nonpublic information (MNPI) in violation of a duty of trust or confidence. This includes not only corporate insiders, but also employees, consultants, advisors, or even personal acquaintances who misuse or share confidential information.

There are two legal theories of insider trading:

Classical Insider Trading

When a corporate insider (such as an executive, board member, or employee) trades on material nonpublic company information or tips someone else who then trades in breach of a duty. Both the tipper and tippee may be held liable if the tippee knew or should have known the information was improperly disclosed and the tipper received a personal benefit.

Misappropriation Theory

When someone outside the company (like a lawyer, accountant, or consultant) comes into the MNPI lawfully but then subsequently misuses it for personal gain by trading on it in violation of a fiduciary duty or confidentiality obligation.

Penalties, both monetary and non-monetary, for insider trading can include:

Monetary penalties

Disgorgement (i.e. the repayment of) of trading profits or losses avoided

Bars from serving as an officer or director of a public company, permanent or for a period of time

Criminal prosecution and imprisonment in criminal cases, typically prosecuted by the Department of Justice

Why the SEC Targets Insider Trading in Raleigh-Durham

Raleigh-Durham is one of the most dynamic and innovation-driven regions in the United States. Known for its concentration of biotech companies, tech startups, venture capital activity, and major research institutions, the area — particularly the Research Triangle Park — generates a constant stream of sensitive financial and scientific information. This makes it a prime target for SEC oversight.

The SEC closely monitors trading patterns linked to this region’s executives, investors, and consultants, especially those working with publicly traded companies or startups nearing IPOs. Individuals may come under scrutiny without even realizing they’ve been identified, as the SEC often builds its case before issuing subpoenas or making formal contact.

If you’ve received an SEC subpoena or suspect you’re under investigation, now is the time to consult with a skilled attorney.

Why You Need an Experienced SEC Defense Attorney

Defending insider trading allegations requires more than general legal experience: it demands an extensive knowledge of the federal securities laws, SEC enforcement investigatory tactics, and regulatory procedures. David R. Chase has all three, having worked as an SEC enforcement attorney and spent decades defending clients in SEC investigations.

Why Choose David R. Chase?

Former SEC Enforcement Attorney

Mr. Chase served in the SEC’s Enforcement Division and held the position of Senior Counsel, where he led complex investigations involving insider trading and securities fraud. His working knowledge of SEC strategy gives him a powerful edge when defending his clients.

Dedicated SEC Defense Practice

After leaving the SEC, Mr. Chase established a law practice exclusively focused on SEC investigations. Insider trading defense is a core part of his national legal work and has been for the last twenty-five years.

Nationwide Representation

Based in Florida, Mr. Chase represents clients across the U.S., including Raleigh-Durham. He handles SEC subpoenas, Wells Notices, and SEC settlement negotiations.

Direct Attorney Access

Mr. Chase personally manages every case, providing his clients with direct access and customized legal strategies tailored to their specific circumstances.

What to Do If You’re Under SEC Investigation for Insider Trading

If you’ve received a Wells Notice, SEC subpoena, or believe you may be under investigation, do not speak with SEC enforcement attorneys before consulting with an experienced Raleigh insider trading lawyer. Even seemingly minor, innocent statements can, and will likely, be used against you.

David Chase will:

Advise you of your legal rights
Communicate directly with SEC officials on your behalf
Assist you with SEC subpoena responses and subpoena compliance
Analyze evidence and formulate a proactive defense strategy
Seek to avoid charges or negotiate a favorable resolution when appropriate

Contact Raleigh Insider Trading Lawyer David R. Chase, Esq. Today

If you’re under investigation for insider trading or have received an SEC subpoena in Raleigh-Durham, contact a knowledgeable SEC defense attorney as soon as possible. The right legal strategy can protect your rights, reputation, and financial future.

Call David R. Chase, Esq. today at 800-760-0912 for a confidential consultation. You can also visit www.securitiesfrauddefense.net to learn more about his background, successful case results, and focused SEC defense services.

CALL TOLL FREE
800-760-0912