Financial Services: Notable case

R v Hexley and Cooper (2014)

Tom Baker acted for the FCA as junior counsel, led by Nick Dean QC, in this successful prosecution of independent financial advisers for unauthorised business offences and dishonest concealment of material facts contrary to section 397 FSMA 2000.  Tom was involved in the case throughout its history, from the giving of pre-charge advice up to successfully responding in the Court of Appeal.

Notable cases:

Operation Tabernula (2015)
The most complex insider dealing investigation undertaken so far by the Financial Services Authority
Mark Ellison QC | Tom Broomfield

R v Hexley and Cooper (2014)
FCA prosecution of financial advisers for offences contrary to section 397 FSMA 2000
Tom Baker

Operation Tabernula (Ongoing) (2013)
FCA's largest insider dealings case
Sean Larkin QC

SFO v Pearson (2011)
Largest market fraud so far on the Alternative Investment Market
Mark Ellison QC | Selva Ramasamy

R v Mason (2011)
Leading Counsel, FSA's (as it then was) first criminal conviction for boiler room fraud.
Paul Raudnitz

R v McFall & Others (2010)
First successful defence of an individual charged by the FSA for insider dealing.

Articles:

Fighting Bribery; New UK Legislation Explained - Sean Larkin QC
Fighting Bribery; New UK Legislation Explained - Sean Larkin QC in conjunction with Commercial Crime International. 1.4.2010
Download (PDF) >

For more information on Fraud-related matters, please contact the clerks on 020 7933 8855 or barristers@qebhw.co.uk