SEC Defense Attorney – Law Firm of David R Chase

About Law Firm of David R Chase — Litigation Fort Lauderdale, Florida

The Law Firm of David R. Chase specializes in securities litigation Fort Lauderdale and federal enforcement defense, with David Chase bringing a background that few private attorneys can match: approximately four years as Senior Counsel in the SEC’s Division of Enforcement in the Miami Regional Office, plus time as a Special Assistant US Attorney with the DOJ where he prosecuted securities fraud cases. That insider perspective — understanding exactly how the SEC builds investigations, negotiates settlements, and decides to recommend charges — is the firm’s core advantage for clients who find themselves under regulatory scrutiny. Chase has represented individuals, securities professionals, investment advisors, hedge fund managers, and companies in SEC, FINRA, and DOJ matters for 30 years, with cases spanning insider trading, stock manipulation, crypto fraud, Ponzi schemes, and broker-dealer violations. He has appeared on Bloomberg and CBC, taught SEC Investigations as an Adjunct Professor at the University of Miami School of Law, and holds Super Lawyers (2025) and Chambers recognition. Fort Lauderdale clients can also review additional Fort Lauderdale litigation attorneys on ReachAttorneys.

Chase handles every case personally — a commitment that matters in matters where strategic judgment at early stages can determine whether a client faces charges at all. The firm serves clients nationally and internationally from Fort Lauderdale, reachable at 800-760-0912.

What Clients Say

Clients who have faced SEC or FINRA investigations describe Chase as an attorney who understands the regulatory process from the inside — someone who knows which arguments resonate with enforcement staff and which procedural moves create leverage. Reviewers emphasize that his background as an SEC prosecutor gave him a credibility and tactical awareness in enforcement negotiations that purely private-sector attorneys cannot replicate.

Litigation Fort Lauderdale — Practice Areas & Services

• SEC Investigation Defense: Representing individuals and entities under formal and informal SEC investigation — from the initial subpoena or Wells Notice through settlement negotiation or trial in federal district court.
• FINRA Defense: Representation of registered representatives and broker-dealers in FINRA investigations and disciplinary proceedings.
• DOJ Securities Fraud Defense: Criminal defense in federal court for insider trading, securities fraud, market manipulation, and Ponzi scheme charges — including coordination between parallel civil SEC and criminal DOJ proceedings.
• Insider Trading Defense: Cases involving alleged use of material nonpublic information — a priority SEC enforcement area where the agency pursued 583 actions in FY2024.
• Crypto and Digital Asset Fraud: Defense in an expanding area of SEC enforcement, including cases involving token offerings, exchange fraud, and alleged unregistered securities.
• SEC Whistleblower Representation: Representing whistleblowers reporting securities violations to the SEC for potential awards under the SEC’s whistleblower program.

Frequently Asked Questions

What should I do if I receive an SEC subpoena in Fort Lauderdale?

An SEC subpoena triggers immediate legal obligations and strategic decisions that affect the entire investigation. Do not attempt to respond without legal counsel — the scope of what you produce, how you comply, and what you say in any testimony are all consequential. Contact a securities defense attorney before submitting any documents or agreeing to an informal interview. The earlier counsel is involved, the more options remain open.

What is a Wells Notice, and how serious is it?

A Wells Notice is the SEC’s formal notification that the Enforcement Division intends to recommend charges. It gives the target an opportunity to submit a Wells Submission — a written argument against bringing the action. A strong Wells Submission can sometimes persuade the Commission not to proceed. However, receipt of a Wells Notice means the SEC has already built a case; the strategic response requires careful analysis by experienced securities defense counsel, not a delay in engagement.

What were the SEC’s enforcement priorities in FY2024?

The SEC filed 583 enforcement actions in FY2024 — a 26% decrease from the prior year — but obtained a record $8.2 billion in financial remedies, driven largely by the $4.7 billion judgment against Terraform Labs. The agency focused on crypto fraud, AI-related securities violations, and broker-dealer record-keeping failures. Despite fewer total actions, the dollar amounts involved signal that the SEC is pursuing larger, more consequential targets.