Practice Areas

White Collar Criminal & Regulatory Defense

Our firm provides strong defense for individuals and entities facing white-collar investigations and prosecutions. We have successfully represented professionals across industries, including finance, healthcare, and law.

We bring extensive experience in SEC and regulatory investigations, handling cases involving market manipulation, insider trading, fraud, and corporate misconduct. Our team also navigates complex corporate internal investigations and parallel civil and criminal proceedings.

With deep knowledge of investment advisor, broker-dealer, private funds, and NRSRO (Nationally Recognized Statistical Rating Organization) (credit rating agency) regulations and compliance, we are trusted advisors in financial and securities-related matters.

Complex Commercial Litigation

Our firm has a proven track record in high-stakes commercial disputes. We successfully defended a shareholder in a contentious corporate takeover, securing her position as CEO and restoring company stability.

In another case, we sued a hedge fund for defrauding our client, leading to an SEC action that froze the fund’s assets and protected our client’s interests—an outcome later highlighted by the SEC as a key enforcement success.

We regularly handle complex civil and regulatory cases, often collaborating with major law firms to provide strategic and effective representation.

Traditional Criminal Defense

For over 36 years, Alan S. Futerfas has represented defendants in high-profile criminal investigations and prosecutions in the New York region. The firm has extensive experience with state and federal criminal violations, and has represented individuals in cases charging fraud, antitrust violations, murder, kidnapping, extortion, narcotics offenses, racketeering, bribery, money laundering, and perjury, among others. The firm also handles extradition matters and violations of the Arms Export Control Act.

Government Investigations

The firm has represented individuals in testimony before multiple Congressional and Senate Committees, including the House and Senate Intelligence Committees. It has represented companies under scrutiny by Congressional Committee investigations. It has represented numerous individuals and entities, including an NRSRO (Nationally Recognized Statistical Rating Organization) (credit rating agency), in investigations conducted by the United States Securities and Exchange Commission (SEC), FINRA and other regulatory agencies.

Successful representation of client charged with multiple murders and related offenses.

After five years of work, in 2023 obtained dismissal of indictment lodged against an attorney in the EDNY for federal securities fraud.

2023-2024, led international investigation of European crypto-currency firm which had been hacked, customer account information stolen and resulting customer losses. No charges filed and malicious actors identified.

The firm represents several MCA companies and has expertise in the area.

Represent client in massive SEC securities fraud action alleging over $500 million in losses.

Appellate & 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).