About Alan J. Brudner
Corporate entities and individuals who need advice or representation in investigations and litigation have called upon Alan Brudner for more than 30 years. With experience both as a federal prosecutor and as head of litigation and investigations for the Americas at one of the most prominent financial institutions in the world, Alan brings extensive knowledge, a multifaceted perspective and a practical approach to all of his matters.
Versatile white-collar defense
Alan has represented clients in a broad range of investigations by the Department of Justice, US Attorney's Offices, the Securities and Exchange Commission, FINRA, the Commodity Futures Trading Commission and other regulators. He has also represented clients in Congressional committee investigations. In addition, he represents clients in civil securities and business litigation, and has significant experience representing hospitals and public entities in False Claims Act cases.
As an assistant US attorney for the Southern District of New York, where he was a member of the Securities and Commodities Fraud Task Force, Alan was responsible for cases that included securities, bank, health care, insurance and federal program frauds. He then worked at UBS AG for 15 years, eight as head of litigation and investigations in the Americas for the UBS Investment Bank, where he managed all of the investment bank's litigation and enforcement matters. The bank's senior executives frequently called on Alan for clear-headed guidance, including how best to navigate the legal morass that engulfed the financial industry during the financial crisis of 2007-08. All of his clients get the benefit of his broad experience, his sensitivity to business concerns and his skill and good judgment in dealing with their legal issues as well as with the regulators, prosecutors and adversaries they face.
Alan has successfully tried complex cases before federal juries, represented clients in administrative hearings and argued appeals before the US Court of Appeals for the Second Circuit. He won a significant pro bono appeal in which the court held that a defendant is entitled to a writ of habeas corpus if his conviction resulted from perjured testimony, even if the prosecutor was unaware of the perjury at the time of trial.
Alan currently serves as chair of the Bioethical Issues Committee of the New York City Bar Association. In that capacity, he is frequently called on for advice and assistance in formulating positions on health care policy issues and proposed legislation.
- White-collar defense
- Government and regulatory investigations and enforcement matters
- Internal investigations
- Civil litigation and administrative proceedings
- Represented the City of New York and NYC Health + Hospitals Corporation in several unrelated False Claims Act cases. One case was dismissed with prejudice.
- Defended international bank in litigation over LIBOR submissions. Case was dismissed with prejudice.
- Conduct internal investigation on behalf of the audit committee of a large public company engaged in technology manufacturing and sales.
- Represent international bank in DOJ FIRREA investigation and civil litigation.
- Represent trading and sales personnel of several financial institutions in DOJ, CFTC and SEC investigations of the FX markets.
- Counsel to international bank on compliance policies and procedures related to the use of expert services and networks.
- Represent global financial institution in civil action over sale of warrants.
- Represent several traders and international bank personnel in investigations of LIBOR submissions.
- Represent broker-dealer in a state regulatory review of structured products.
- Represent foreign trading concern in SEC insider trading investigation.
- Represent head of compliance of an industrial manufacturer in FCPA investigation.
- Represent broker-dealer in FINRA investigation relating to the supervision of a registered representative.
- Represent investment bank, traders and a securities analyst in various insider trading investigations.
- Represent C-Level corporate executives in SEC fraud investigations.
- Represent several bank executives in SEC investigations and litigation relating to fraud and corruption.
- Represent international bank in FINRA investigation and internal investigation of mismarking of trading positions.
- Represent purchaser of tax liens in DOJ bid-rigging investigation.
- Represent several private and public health care institutions and individuals in investigations, regulatory proceedings and False Claims Act litigation over billing, supervision and regulatory compliance issues.
- Represent chairman of a public company in market manipulation investigation.
June 11, 2019
May 31, 2017
June 17, 2016
White Collar Crime: Business and Regulatory OffensesMay 2016
Second Circuit Reaffirms That Attorney-Client Privilege Is Not Waived By Sharing Documents With Parties Pursuant to a Common Legal Interest—Even Where That Interest Has Commercial ObjectivesNovember 20, 2015
Cyber-Attacks and Developments in CybersecurityNovember 18, 2015
SEC Enforcement Action Alleges an Adviser Failed to Adopt Adequate Cybersecurity Policies and Procedures; SEC Issues an Investor Alert on Data TheftSeptember 24, 2015
July 20, 2015
June 24, 2015
SDNY Holds No Attorney-Client Privilege Applies to Communications With In-House Legal Department in ChinaDecember 13, 2013
Limiting Extraterritoriality Beyond Securities LawsOctober 27, 2011
Recent Developments in Securities Law: Leading Lawyers on Navigating Increased Enforcement, Handling Disclosure Issues, and Creating Compliance Strategies2011
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Presentations and Events
HostOctober 6, 2015
PanelistJune 9, 2015
PresenterOctober 16, 2014