Alan S. Futerfas

Early Career and Legal Practice

Alan S. Futerfas has unparalleled experience in the defense of individuals and companies under investigation or accused of wrongdoing. He mentored with the great Gerald L. Shargel in 1986, second seating major trials and writing appeals while still a law student. After law school, Mr. Futerfas became a partner in Shargel & Futerfas. In 1993, he opened his own firm.

Criminal and Civil Litigation

For over 36 years, Mr. Futerfas has represented individuals and entities in traditional and white-collar investigations and prosecutions. He has represented numerous corporate officers and directors, hedge funds, financial firms, companies, an NRSRO (Nationally Recognized Statistical Rating Organization) (credit rating agency), private equity principals, doctors, lawyers and other professionals. He has routinely been involved in some of the most significant and highly publicized cases in the New York region and in the country. He also represents individuals and businesses in high stakes civil litigation.

Mr. Futerfas is a consummate trial lawyer, having literally spent years on trial defending individuals in prominent cases. He is also a renown appellate lawyer, having briefed and argued dozens of cases before trial courts, in the United States Court of Appeals for the Second Circuit, and in other federal and New York State appellate courts. In 2000, Alan S. Futerfas argued Artuz v. Bennett before the United States Supreme Court, prevailing with a unanimous (9-0) decision authored by the late Justice Antonin Scalia.

Notable Civil Cases

Beyond criminal defense, the firm engages in significant non-criminal representation.

The firm recently sued UBS and others for outrageous conduct by a UBS investment advisor. See Kallman, et. ano. v. UBS, et. al., Index No. 655193/2024 (N.Y. Cty. Supreme Court). See the filed lawsuit here.

The firm sued an individual who claimed to run a hedge fund, and didn’t, and lost the client’s money. The firm successfully worked with the SEC to seize the wrongdoer’s assets, and the SEC brought its own action. The matter was eventually referred to the United States Attorney’s Office which prosecuted and convicted the wrongdoer.

In United States v. Alex Saavedra, 11 Civ. 6425 (AKH), the U.S. Attorney’s Office for the Southern District of New York, Civil Division, pursued a False Claims Act case against a former director of a non-profit workforce center. The government alleged tens of millions in damages. After a two-week trial in 2015, the jury found only 13 false job placements, amounting to just $13,000 in damages—an overwhelming victory, as recognized by the New York Times. Read about the case here: "Jury Finds Mistakes, Not Widespread Fraud, at Seedco Job Agency" New York Times.

The firm also represented a female immigrant detainee who had been sexually abused at Rikers Island. After resolving her criminal charges to avoid deportation, the firm pursued a civil lawsuit against the City of New York. This litigation led to a significant legal victory that resulted in a settlement on the eve of trial in 2019. Read articles about this case here:

"Ex-Rikers inmate who says she was raped by guards gets $1.2M" New York Post, "Lawsuit Alleging Sexual Assault at Rikers Island Survives Summary Judgment" New York Law Journal.

Special Counsel, Congressional and Political Investigations

The firm has long represented politicians and others in politically charged investigations. Beginning in 2017, Mr. Futerfas successfully represented The Trump Organization and Donald J. Trump, Jr. in the investigation conducted by the Office of Special Counsel (Robert S. Mueller III) into allegations of collusion with Russian nationals; in multiple related investigations conducted by House and Senate Congressional Committees; and in the political contribution investigation conducted by the United States Attorney’s Office for the Southern District of New York. He successfully defended the Donald J. Trump Foundation, and all family members, in a highly publicized action brought by the New York Attorney General. Mr. Futerfas represented The Trump Organization in connection with the years-long New York County District Attorney’s Office’s corporate tax investigation and represented the Trump Payroll Corporation at trial in 2022 where he conducted the cross-examination of Allen Weisselberg. Mr. Futerfas also represented Ivanka Trump and Donald Trump, Jr. in the New York Attorney General’s investigation of real estate valuation.

Teaching and Legal Education

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

Other Interests

Mr. Futerfas is a graduate of The Juilliard School (B.M. 1984) and has performed with brass ensembles and New York based orchestras for decades. He is currently the bass trombonist and Board Chair of the New Conductor's Orchestra in New York City, an orchestra he helped found. The orchestra is dedicated to advancing the careers of talented and aspiring conductors and composers.

Recognitions and Awards