Alan Kaufman is a partner in the firm's New York office. He focuses his practice on the defense of clients in white collar crime and investigation matters.
Mr. Kaufman has defended individuals, corporations, partnerships and professional associations before the Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE), federal courts throughout the country and in the state courts of New York.
Current and former employees of leading financial services, telecommunications, manufacturing, pharmaceutical, consumer goods and other companies have relied on Mr. Kaufman for defense against charges of accounting and tax fraud, kickbacks and bribery, insider trading and other alleged criminal behavior.
Mr. Kaufman previously served as chief of the Criminal Division in the U.S. Attorney's Office for the Southern District of New York from 1999-2002. He also was an assistant U.S. Attorney in the Southern District of New York from 1973-1980, including serving as chief of the Official Corruption, Special Prosecutions Unit and chief of the Organized Crime Strike Force Unit.
Mr. Kaufman was a law clerk for the Honorable Paul Weick of the U.S. Court of Appeals for the Sixth Circuit.
Representative Experience
Conducted an internal investigation for an insurance company that suspected that an independent agency had been misappropriating premiums meant for the company. Furnished the results of the investigation to federal prosecutors in New York. The responsible individual was indicted and eventually pleaded guilty.
Conducted an internal investigation for a telecommunications company that suspected that an executive had embezzled and misappropriated corporate funds. Furnished the results of the investigation to federal prosecutors in New York. The responsible individuals were indicted and eventually pleaded guilty. The executive raised an allegation of other corporate misdeeds, and our investigation established that such allegation had no merit.
Representing a former senior officer of Citigroup in connection with an SEC investigation into revenue recognition and accounting treatment matters.
Represented a former senior officer of Citigroup in connection with an SEC proceeding into the company's internalizing of the transfer agency function.
Represented a number of current and former officers and employees of Forest Laboratories in connection with a U.S. Attorney investigation of the off-label promotion of a company product and possible violations of the Anti-Kickback statute.
Represented an officer of Schering-Plough in connection with a federal investigation.
Represented a number of current and former officers of MBIA in connection with an SEC/U.S. Attorney investigation of accounting treatment of reinsurance transactions.
Represented a former MBIA officer in connection with the inquiry being conducted by a special monitor appointed as part of the company's settlement with the SEC.
Represented an officer of a hedge fund in connection with an inquiry being conducted by a Special Committee of the Board into possible improprieties.
Represented a number of former Deloitte & Touche accountants in connection with the government's actions against Adelphia and its principals, the SEC's proceeding against other D&T individuals, and private litigation.
Represented a senior officer of HCA in connection with the SEC/U.S. Attorney investigation of trading in HCA stock.
Represented an officer of ACE Insurance in connection with multiple investigations of collusion in the insurance industry.
Represented a senior officer of ACE Limited in connection with the SEC investigation of the accounting treatment of reinsurance transactions.
Represented a senior officer of Tommy Hilfiger Inc. in connection with the U.S. Attorney investigation into the tax treatment of the purchase of office commissions.
Represented a senior officer of Pershing LLC in connection with the SEC/U.S. Attorney investigation involving mutual fund market timing.
Represented a senior officer of Bristol Myers Squibb in connection with the SEC/U.S. Attorney investigation/proceeding involving revenue recognition and accounting treatment arising from channel-stuffing.
Represented an overseas partner of a major law firm in connection with the SEC investigation of the adequacy of public disclosures, and the non-filing of required reports by Spiegel, Inc.
Represented a former senior officer of Bankers Trust/Deutsche Bank in connection with the U.S. Attorney investigation into tax shelters.
Represented analysts from Lehman Bros. and Credit Suisse during the spate of investigations into investment banking influence over analysts' recommendations.
Represented the principal of a private company in connection with the SEC/U.S. Attorney investigation of collusion between Royal Ahold and its vendors, resulting in revenue recognition issues at the public company.
Representing a senior officer of an advertising company in connection with the SEC/U.S. Attorney investigation of fraud at Fuji Photo Film USA.
Represented an individual in connection with an investigation concerning financial transactions involving Iran and assorted corporate entities.
Represented an investor who purchased based on alleged insider information. Persuaded the U.S. Attorney’s office not to charge and settled with the SEC.
Memberships & Associations
New York Council of Defense Lawyers, president
Professional Activities
First Judicial Department of the Appellate Division, Disciplinary Committee
Honors & Awards
Selected as one of The Best Lawyers in America in the Criminal Defense: White-Collar area, 2010-2013.
Listed in New York "Super Lawyers," 2010-2012.
