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The Law Offices of Alan S. Futerfas

Alan S. Futerfas has twenty-five years of litigation experience representing individuals and companies in traditional and white collar cases, trials and appeals, SEC investigations and regulatory matters. The firm has represented corporate officers, directors, hedge funds, an NRSRO and private equity principals in significant and highly publicized cases in the New York region. The firm represents individuals and businesses in civil litigation.

The firm has substantial trial and appellate experience having written and argued appeals and motions in various courts throughout the country. Alan S. Futerfas argued and won a criminal appeal before the United States Supreme Court. The firm has earned a reputation for outstanding results, strategic decision-making, discretion and integrity.

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Ellen B. Resnick
Richard F. Brueckner

Attorneys

Alan S.Futerfas

Attorney at Law

asfuterfas@futerfaslaw.com

Alan S. Futerfas began working in the criminal defense field 25 years ago while a law student at the Benjamin N. Cardozo School of Law. He graduated in 1987, later becoming a partner in a premier criminal defense firm in New York City. In 1994, Alan S. Futerfas opened his own practice. Alan S. Futerfas is admitted to practice before the bar of New York (1988); the U.S. District Courts for the Southern and Eastern Districts of New York (1989); the U.S. Court of Appeals for the Second Circuit (1990); the U.S. Court of Appeals for the Third Circuit (1993); and the U.S. Supreme Court (1992). He is a member of the Association of the Bar of the City of New York (former member, Judiciary and Criminal Law Committees); New York State and American Bar Associations; Federal Bar Council; New York Criminal Bar Association; National Association of Criminal Defense Lawyers; and the New York Council of Defense Lawyers.

Alan S. Futerfas has chaired seminars on Corporate Investigations and Ethics at the Association of the Bar of the City of New York. He has lectured on ethics and other topics at Benjamin N. Cardozo School of Law and has lectured on ethics and corporate investigations for the National Association of Criminal Defense Lawyers (NACDL) at its annual conference in Aspen, Colorado. Alan S. Futerfas has taught Advanced Trial Advocacy at Fordham Law School and has presided over various law school trial advocacy competitions. Alan S. Futerfas served on the Judiciary Committee and the Criminal Law Committee of the Association of the Bar of the City New York.

Alan S. Futerfas has been selected for inclusion in New York’s Super Lawyers for the past four years and has been selected for inclusion as a Super Lawyer in its Corporate Counsel edition. Alan S. Futerfas has been AV* Peer Review Rated and named an  AV® Preeminent Lawyer* by Martindale-Hubbell since 1999.

Mr. Futerfas is a graduate of The Juilliard School (B.M. 1984) and is the bass-trombonist of the Park Avenue Chamber Symphony.

Presentation of Dean's Lecture at Cardozo School of Law, February 2013

Client with counsel Alan S. Futerfas and Bettina Schein - client exonerated of all charges after arrest and seven month investigation by the NY County District Attorney's Office. Photo by NY Daily News

White Collar Criminal and Regulatory Defense

Traditional Criminal Defense

Complex Commercial Litigation

Government Investigations

Appellate and Supreme Court Experience

White Collar Criminal and Regulatory Defense

The firm regularly represents individuals and entities in white-collar investigations and prosecutions. We have represented lawyers and medical professionals, accountants, private equity and fund principals, officers, directors and employees of public and private companies, hedge funds, banking and brokerage industry professionals, investors and others in the financial industry.

The firm has substantial experience in regulatory and securities related investigations brought by the SEC or prosecutors concerning: market manipulation, regulatory violations, black-out period disclosures, insider trading, improper short-selling, restricted stock sales, misleading or false announcements, press releases or corporate statements, corporate conflicts of interest, use of improper investment and public equity vehicles, accounting and inventory irregularities, market-timing and late trading, public corruption and payments to third-party introducers and Martin Act violations. The firm has represented individuals in criminal tax, bank and mortgage fraud, health-care, Medicaid and Medicare fraud investigations and prosecutions. The firm has represented individuals charged with computer virus creation, spam dissemination and related computer offenses.

The firm has significant experience in corporate internal investigations and managing parallel civil and criminal proceedings.

The firm has represented regulated entities, including an NRSRO. The firm has substantial knowledge and experience with the rules and regulatory structure governing NRSROs and NRSRO compliance requirements.

REPRESENTATIVE WHITE COLLAR  MATTERS
  • Successful representation of New York area businessman charged with federal offenses related to his business. Charges dismissed.
  • Successful representation of individual in massive multi-year investigation of construction, government contract and union related offenses. No charges filed.
  • Successful representation of individual and his business in criminal tax investigation. No charges filed.
  • Successful representation of New York area businessmen in complex federal tax investigation. No charges filed.
  • Successful representation of hedge-fund and other individuals in connection with New York Attorney General’s investigation into the New York State Common Retirement Fund.
  • Successful representation of hedge-fund principal in market timing and late trading investigations brought by the SEC, the United States Attorneys' Office for the Southern District of New York and the New York Attorney General. No charges filed.
  • Successfully represented private equity investors in United States Department of Justice and United States Attorneys' Offices securities fraud investigations. No charges filed.
  • Successful representation of West Coast-based banker indicted in the Southern District of New York on bank fraud, wire fraud and other charges. Obtained dismissal of the indictment and case dismissed.
  • Successful representation of medical professional in New York Attorney General healthcare fraud investigation. No charges filed.
  • Representation of a number individuals and entities investigated and or charged with no-fault Medicaid and Medicare fraud offenses, medical clinic offenses, cash transaction violations.
  • Successful representation of senior United States Customs Service official under investigation by the Southern District of New York. No charges brought.
  • Successful representation of IRS Revenue Officer investigated by the United States Attorney's Office and the Inspector General.
  • Successful representation of attorney in high profile not-for-profit grand jury investigation.
  • Successful representation of company and its principal in a multi-year environmental investigation of asbestos abatement and disposal. No charges brought.
  • Successful representation of CEO and other senior executives of a Fortune 1000 public company in SEC insider-trading investigation. No action brought.
  • Represented former AIG corporate officers in SEC and New York Attorney General accounting irregularities investigation.
  • Successful representation of corporate attorney investigated for insider trading by the SEC. No action brought against attorney.
  • Represented officer and director of C.V. Starr & Co., Inc., and employees in civil litigation brought by AIG.
  • Represented senior executive and accountants in the New York County District Attorney's investigation of former Tyco CEO, Dennis Kozlowski, and others.
  • Represented individuals in connection with the Congressional and United States Attorneys' Office investigation into President William J. Clinton's pardon of Mark Rich in 2000.
  • Successful representation of business owners in union, bribery, construction/contractor fraud investigations and prosecutions.
  • Successful representation of individual indicted in two districts for an $800 million telecommunications and internet fraud.
  • Successful representation of extradited foreign national charged with exporting aircraft parts to Iran.
Traditional Criminal Defense

For 25 years, Alan S. Futerfas has represented defendants in many of the high profile criminal investigations and prosecutions brought in the New York region. The firm has vast experience with violations of the state and federal criminal laws. The firm has represented individuals investigated or charged with union offenses, bid-rigging, wire and mail fraud, anti-trust violations, Martin Act violations, false statements, murder, conspiracy to murder, kidnapping, extortion, theft, larceny, gun possession, narcotics offenses, large-scale narcotics and ecstasy importation offenses, racketeering, RICO, OCCA, bribery, commercial bribery, arson, internet child pornography, money laundering, 8300 violations, currency transaction violations, obstruction of justice and perjury, among other state and federal offenses.  The firm has represented individuals in extradition matters and has significant knowledge and experience in this area. The firm has represented individuals investigated for violations of the Arms Export Control Act and other export violations.

SELECTED CRIMINAL  DEFENSE MATTERS
  • Successful representation of President and CEO of major league professional sports team charged with assault and other charges. All charges dismissed.  
  • Successful representation of individual in federal multi-defendant trial alleging extortion and bid-rigging. Client was acquitted after six-month trial.
  • Represented lead defendant in four-month trial charged with murders, murder conspiracies, kidnapping, extortion and gambling. Defendant was acquitted of all charges save for one extortion and one gambling charge.
  • Successful representation of individual indicted by the United States Attorney’s office for murder, arson and other charges and facing life imprisonment. The firm conducted a multi-year investigation and proved that the individual was framed. We obtained dismissal of the murder and arson charges and our client served little time.
  • Successful representation of alleged high-ranking organized crime member charged with murder, extortion and other offenses. The firm conducted the first hearing held in the Southern District of New York on the admissibility of lie detector test results in the federal courts. The murder charges were dismissed.
  • Successful representation of individual charged by the United States Attorney’s Office with possession of child pornography. Obtained a deferred prosecution.  
  • Successful appellate representation of businessman convicted of federal child pornography charges. Firm brought successful post-conviction litigation and obtained a 5-year reduction in his sentence. Individual released from custody weeks later.
  • Successful representation of client charged with money laundering, fraud, cash transaction offenses.
  • Successful representation of individual in massive multi-year investigation of construction, government contract and union related offenses. No charges filed.
  • In post-conviction proceedings, the firm exposed high-level corruption in the FBI with respect to its use of a top-level confidential informant. Our work led to the district court setting aside the murder conviction (it was later reinstated in the appellate courts) and to widely publicized revelations about the improper use of confidential informants by the FBI.
  • Successful representation of individual charged with murder conspiracy and gun possession in lengthy, multi-defendant trial. Defendant acquitted.
  • Successful representation of client charged with extortion and other offenses in large, multi-defendant organized crime prosecution in the Eastern District of New York.
  • Successful representation of client charged with multiple murders and related offenses.
  • The firm was appointed by then Federal District Judge Sonia Sotomayor (now a United States Supreme Court Justice) to represent defendant charged in one of the first federal death penalty prosecutions brought in the Southern District of New York. The firm served as lead counsel in hearings held to contest the validity of the prosecution.
* The results obtained in a given matter depend on numerous factors including the facts and circumstances of each case; governmental, administrative or investigative decision-making; the court or forum; witness credibility and many other factors. Accordingly, past successes are only an indication of this firm’s efforts and experience and are not, in any way, predictive of a result in any future matter. 
Complex Commercial Litigation

The firm successfully defended a shareholder in a highly litigious takeover battle involving a private corporation. Prior to our representation, the client had lost control of the board, was being ousted as President and CEO, and had spent years defending stalled, unproductive litigation, which caused the value of the company to decline. When this firm took over representation the delays ended. Discovery was advanced, adverse decisions were reversed, a new board was installed, and our client’s position as CEO and President was secured. We obtained the desired resolution of all litigation and, after an agreed sale, our client remained CEO of a successful company.

The firm successfully sued a hedge fund which had defrauded our client, an investor in the hedge fund. In addition to our lawsuit, we presented a comprehensive case file to the SEC which brought its own action against the fund and froze all assets under management. This action prevented defendants from using or secreting our client’s assets. The end result was outstanding for our client. The SEC has used our litigation in seminars as an important example of its enforcement function.

The firm routinely represents parties and witnesses in various complex civil and or regulatory actions. We often work with large law firms who value our strategic thinking and careful representation.

Government Investigations

The firm has been involved in many of the significant white collar investigations and prosecutions in New York. We have represented lawyers and other professionals, private equity principals, officers, directors and employees of public and private companies, principals of hedge funds, individuals with significant banking and brokerage firm experience, investors, venture capitalists, and others in the financial industry. 

The firm has substantial experience before the SEC having represented individuals in regulatory and securities related investigations concerning: market manipulation, regulatory violations, black-out period disclosures, insider trading, improper short-selling, restricted stock sales, misleading or false announcements, press releases or corporate statements, corporate conflicts of interest, use of improper investment and public equity vehicles, accounting and inventory irregularities, late trading, public corruption and payments to third-party introducers and Martin Act violations. 

In addition, the firm has represented individuals in criminal tax, bank and mortgage fraud, health-care, Medicaid and Medicare fraud investigations and prosecutions. The firm has significant experience in corporate internal investigations and managing parallel civil and criminal proceedings. The firm represents individuals in extradition matters.

Appellate and Supreme Court Experience

The firm has extensive appellate experience having written and argued over 30 appeals in the United States Court of Appeals for the Second Circuit and has argued appeals before other federal and New York State appellate courts. Alan S. Futerfas successfully argued before the United States Supreme Court prevailing with a unanimous decision in Artuz v. Bennett, 531 S. Ct. 4 (2000).

*CV, BV, and AV are registered certification marks of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures, standards, and policies.
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White Collar Criminal and Regulatory Defense

Traditional Criminal Defense

Complex Commercial Litigation

Government Investigations

Appellate & Supreme Court Experience

565 Fifth Avenue, 7th Fl | New York, NY 10017

T: 212.684.8400 | 212.880.9402 | F: 212.684.5259