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.
Have you received an SEC Wells Notice? Finding out that the SEC’s Division of Enforcement intends to recommend formal civil charges against you or your firm is a critical legal crisis that requires immediate, calculated action.
Have you received an SEC Wells Notice? Finding out that the SEC’s Division of Enforcement intends to recommend formal civil charges against you or your firm is a critical legal crisis that requires immediate, calculated action.
In this video, former SEC Enforcement Division Senior Counsel David R. Chase explains exactly what an SEC Wells Notice means, its legal significance, and how to strategically utilize the narrow window you have to submit a Wells Submission to persuade the Commission to drop the case.
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.
