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 35 years. With experience both as a federal prosecutor and as head of litigation and investigations 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.

Wise counsel, strategic thinking, experienced 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, discretion 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 (NYCBA). In that capacity, he is frequently called on to provide assistance in formulating positions on health care policy issues and proposed legislation. During the pandemic, Alan moderated discussions on the NYCBA’s 44th Street Podcast on ethical issues in the allocation of scarce medical resources. He also participated as a panelist on legal education programs sponsored by the New York State Bar Association and the Network for Public Health Law on scarce resource allocation as well as COVID-19-related legal waivers and immunities enacted for the health care industry.

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Practice Focus

  • White-collar defense
  • False Claims Act litigation
  • Government and regulatory investigations and enforcement matters
  • Internal investigations
  • Civil litigation and administrative proceedings

Representative Experience

  • Advised and represented traders in connection with antitrust and bid-rigging investigations and related litigation in the US Treasuries, SSA and GSE bond markets.
  • Represented the chairman of a public manufacturing company in criminal and SEC investigations and litigation relating to market manipulation.
  • Represented NYC Health + Hospitals Corporation in an administrative hearing and appeals relating to Medicaid reimbursement issues.
  • 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.
  • Conducted internal investigation on behalf of the audit committee of a large public company engaged in technology manufacturing and sales.
  • Represented 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 FX markets and LIBOR submissions.
  • 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 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.

Publications