David R. Chase is a former SEC Enforcement Division Senior Counsel and Special Assistant US Attorney, and now SEC defense attorney representing individuals, executives, investment professionals, and companies in SEC investigations, including insider trading, stock manipulations, investment adviser fraud on a nationwide basis, including New York City, Boston, Chicago, Miami, San Francisco, San Diego and Austin.
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
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.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
