Brook Dooley

Brook Dooley

Keker & Van Nest

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White Collar Crime and Securities Enforcement: 2014 in Review

Results yielded in 2014 were mixed for the Department of Justice in the white collar arena. The government suffered a large setback in its crackdown on insider trading when the U.S. Court of Appeals for the Second Circuit...more

1/26/2015 - Appeals Criminal Prosecution DOJ FCPA Financial Institutions Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Money Laundering Personal Benefit Portfolio Managers Securities Securities Fraud Tax Evasion US v Newman

Section 17(a) of the Securities Act of 1933: Unanswered Questions

In recent years, the Securities and Exchange Commission has increasingly relied on Section 17(a) of the 1933 Securities Act. Indeed, many of the cases the SEC has brought in the wake of the recent financial crisis have been...more

7/10/2013 - Rule 10b-5 SEC Section 17(a) Securities Act of 1933

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