Brook Dooley has extensive experience handling complex civil litigation and white collar criminal matters. He has represented individuals and businesses in civil cases involving breach of contract, securities fraud, breach of fiduciary duty, and professional negligence claims. Mr. Dooley has also represented numerous individuals and companies under investigation or indictment by the Department of Justice. He litigates matters throughout the United States and has tried cases to verdict in many state and federal courts, and before arbitration panels.
Cases of Note
Securities and Exchange Commission v. Former Chief Executive Officer: We are currently defending the former CEO of Fannie Mae in an SEC action filed in the Southern District of New York related to Fannie Mae’s disclosures regarding its exposure to “subprime” and “Alt-A” residential mortgages.
Securities and Exchange Commission v. Brian Stoker: We defended former Citigroup executive Brian Stoker in one of the rare financial crisis cases to go to trial. Mr. Stoker, who worked on the structuring desk at Citigroup, was charged with securities fraud in connection with Citigroup’s 2007 marketing of a $1 billion collateralized debt obligation (CDO) backed by assets tied to the housing market. In its enforcement action the SEC contended that Citigroup had played a role in the selection of the CDO’s underlying mortgage securities and had taken a short position in those securities. The SEC contended that Mr. Stoker was negligent for not disclosing information about Citigroup’s actions in its marketing materials. After a two-week jury trial in the Southern District of New York with Judge Rakoff presiding, the federal jury rejected the SEC’s case and found Mr. Stoker not liable on any of the SEC’s claims.
Federal Deposit Insurance Corporation Investigation: We achieved a favorable resolution of an FDIC investigation of the former President and Chief of Operating Officer of a southern California bank in connection with the bank’s Option ARM and reduced documentation lending practices.
United States v. Executive: We represented an investment fund executive charged with criminal tax fraud related to a tax-shelter transaction that the fund designed and implemented. We resolved the matter by negotiating a plea to reduced charges.
United States v. Former Chief Executive Officer: We persuaded the U.S. Attorney to abandon its criminal stock options backdating investigation of our client, a former CEO. We then sued our client's former company for terminating its relationship with him, and voiding his retirement benefits worth tens of millions. The company agreed to pay our client $16.5 million.
United States v. Attorney: Special prosecutors appointed by the United States District Judge charged our client, a nationally-known Mississippi trial attorney, with federal criminal contempt. We persuaded the court to dismiss the charges following an order to show cause.
United States v. Attorney: We represented a nationally-known Mississippi trial attorney in multiple federal criminal cases alleging judicial bribery and honest services fraud. Our client received favorable plea agreements.
United States v. Lawyer: The U.S. Attorney’s Office investigated our client, a prominent plaintiff’s lawyer, in connection with the federal criminal investigation of his firm's historical payment of referral fees in class action litigation. We negotiated a very favorable plea deal before charges were filed.
Technology Company v. Internet Search Engine: We defended a leading Internet search engine in a high-stakes binding arbitration. The founders of a company acquired by our client alleged our client breached the merger agreement, and sought hundreds of millions in earn-out compensation. A three-judge panel found in favor of our client on all counts.
Plaintiff v. Software Company: We defended a leading enterprise and mobile software company against breach of contract and related claims. The foreign plaintiff alleged he had entered into a joint venture with a company subsequently acquired by our client. We quickly mastered the facts and documents in the case, pushed for early depositions of the key witnesses and an expedited resolution through arbitration, and thus were able to secure a favorable settlement.
Plaintiffs v. Technology Company: We successfully handled a series of state and federal class actions, and related derivative actions for our client concerning its alleged failure to disclose discord among its management. In the federal cases, we prevailed on a motion to dismiss and the subsequent appeal before the U.S. Court of Appeals for the Ninth Circuit. In the state cases we also secured dismissals.
Publications and Presentations
- "White Collar Crime and Securities Enforcement: 2016 in Review," Bloomberg BNA White Collar Crime Report, 2017, co-authored with Eric MacMichael and Nick Goldberg
- "Official Acts and McDonnell v. United States,” Westlaw Journal’s White-Collar Crime, 2016
- "2015 in Review: Securities Enforcement," Bloomberg BNA Corporate Law & Accountability Report, 2016, co-authored with Eric MacMichael and Julia Choe
- "White Collar Crime and Securities Enforcement: 2015 in Review," Bloomberg BNA White Collar Crime Report, 2016, co-authored with Eric MacMichael and Nick Goldberg
- "White Collar Crime and Securities Enforcement," Bar Association of San Francisco, 2015
- "White Collar Crime and Securities Enforcement: 2014 in Review," Bloomberg BNA White Collar Crime Report, 2015, co-authored with Eric MacMichael
- "White Collar Crime and Securities Enforcement: 2013 in Review," Bloomberg BNA White Collar Crime Report, 2014, co-authored with Eric MacMichael and Andrew Dawson
- "Securities Enforcement: 2013 in Review," Bloomberg BNA White Collar Crime Report, 2014, co-authored with Matan Shacham
- "Section 17(a) of the Securities Act of 1933: Unanswered Questions," Bloomberg BNA Securities Regulation & Law Report, co-authored with Matan Shacham, 2013
- "White Collar Crime and Securities Enforcement: 2012 in Review," Bloomberg BNA White Collar Crime Report, 2013
- "Trends in White Collar Crime and Securities Enforcement," Bar Association of San Francisco, 2013
- Board of Directors, Law Center to Prevent Gun Violence
- Board of Trustees, St. Paul’s Episcopal School
- National Association of Criminal Defense Lawyers
- American Bar Association, Business Law, Criminal Justice, and Litigation Sections
- Bar Association of San Francisco
Honors and Awards
- Rising Star, Northern California Super Lawyers, 2012-2014
- Order of the Coif, Georgetown University Law Center
- Associate editor, Georgetown Law Journal