Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

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Brian A. Hooven

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Brian Hooven is an associate in the Litigation Department. He has represented a diverse client base in all phases of litigation, including trial, in both state and federal courts.

Brian also maintains an active pro bono practice, representing individual clients in criminal, family and immigration proceedings.

Prior to law school, Brian worked at the University of Michigan Center for Arrhythmia Research and co-authored Time- and frequency-domain analyses of atrial fibrillation activation rate: The optical mapping reference. (2011) Heart Rhythm.

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SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2

By Samuel J. Waldon, Joshua M. Newville and Brian A. Hooven on Posted in SEC Enforcement, Securities Law, White Collar
On June 4, we posted a summary of SEC Enforcement Co-Director Steven Peikin observations during his recent keynote address at the New York City Bar Association’s 7th Annual White Collar Crime Institute.  Co-Director Peikin imparted a few suggested “do’s and don’ts” for effective communication with the SEC during the Wells process.  Although Co-Director Peikin’s suggestions should serve as … Continue Reading

SEC Enforcement Co-Director Gives Guidance for Wells Process

By Samuel J. Waldon, Joshua M. Newville and Brian A. Hooven on Posted in SEC Enforcement, Securities Law, White Collar
During his recent keynote address at the New York City Bar Association’s 7th Annual White Collar Crime Institute, SEC Enforcement Co-Director Steven Peikin imparted a few suggested “do’s and don’ts” for effective communication with the SEC during the Wells process—typically the last opportunity to address potential charges prior to the authorization of a SEC enforcement … Continue Reading

SEC and DOJ Charge Board Member with Trading on Inside Information . . . During a Board Meeting

By Joshua M. Newville, Sigal Mandelker and Brian A. Hooven on Posted in SEC Enforcement, White Collar
On Friday, the SEC filed a complaint against James C. Cope, a former member of the Executive Committee of Pinnacle Financial Partners’ (“PFP”) board of directors, alleging that he engaged in insider trading.  The same day, Cope pleaded guilty to related insider trading charges brought by the U.S. Attorney’s office for the Middle District of … Continue Reading
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