SEC v. Doody

186 F. Supp. 2d 379 (2002)

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SEC v. Doody

United States District Court for the Southern District of New York
186 F. Supp. 2d 379 (2002)

Facts

A grand jury indicted Doody (defendant) for insider trading. The Securities and Exchange Commission (SEC) (plaintiff) brought civil charges against Doody, his father (Doody Sr.), and Doody’s girlfriend, Neiley (defendants) charging the same scheme. Doody Sr. sought interrogatory answers and production of documents from the SEC and noticed Neiley’s deposition. The prosecution feared that Doody Sr.’s discovery requests would disclose evidence the prosecution intended to use in Doody’s criminal trial scheduled for March 8, and Doody Sr. would seek to depose other likely witnesses in the criminal case. The prosecution moved to intervene in the civil action and stay production of transcripts of witness depositions and interview notes, initial disclosures under Federal Rule of Civil Procedure 26(a)(i)(A), and depositions. Doody Sr. opposed the motion, arguing that he had a compelling need to proceed with the civil case because he would likely be fired from his job and it would be difficult to find new employment with the SEC charges pending.

Rule of Law

Issue

Holding and Reasoning (Kaplan, J.)

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