• Alan R. Friedman has, for more than 40 years, handled a wide range of high-stakes securities and shareholder class actions, corporate control, corporate and fund governance, cybersecurity, bankruptcy, intellectual property and other complex commercial matters. He has broad experience in the defense of significant criminal cases, including securities fraud, tax and corruption cases, and in defending public companies and funds and their officers and directors in enforcement proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Commodities Futures Trading Commission, the Federal Reserve Board and the New York State Attorney General’s Office, as well as other administrative agencies and self-regulatory bodies.

    Alan has a long time interest in environmental, social and governance (ESG) issues and in cybersecurity and data privacy regulation and routinely counsels clients, including investment advisers and investment companies, in these growing areas. He also counsels companies on FCPA and other anticorruption laws and regulations. He has served as counsel to audit and special committees of major public companies in a wide array of matters.

    Alan’s most notable representations include the defense of a major public landscaping and development company and its officers and directors in class action securities litigation filed subsequent to the company’s IPO. He defended the former managing director of McKinsey in a well-publicized criminal insider trading trial and related litigation. He also represented the City of New York in investigations brought by the New York County District Attorney’s Office relating to the deaths of two firemen as a result of the fire at the Deutsche Bank Building. No charges were brought against the city. He successfully obtained the dismissal of class action securities litigation against United Rentals Inc., brought in the wake of the termination of its merger agreement with an affiliate of Cerberus. The Second Circuit affirmed that dismissal.

    Experience

    • Successfully represented Sirius XM Radio Inc. in a patent infringement suit regarding certain technology related to satellite communication networks.

    • Defending a major public landscaping and development company and its officers and directors in stockholder litigation brought following the company’s IPO.

    • Represented the independent directors of a publicly-traded business development company in stockholder litigation challenging a complex merger transaction.

    • Defended a former public company director in a well-publicized criminal insider trading trial and related civil proceedings.

    • Assisted a global investment management corporation in regulatory due diligence in connection with its acquisition of another major investment management firm.

    • Pursued international claims on behalf of a multinational oil services company in litigation relating to the construction of rigs in the Middle East.

    • Represented bank officers and CDO managers in regulatory investigations following the financial crisis.

    • Represented the City of New York in investigations by the New York County District Attorney’s Office relating to the deaths of two firemen at the Deutsche Bank Building.

    • Represented senior creditors in bankruptcy litigation relating to the failure of a major bank.

    • Obtained for United Rentals Inc. the dismissal of class action securities litigation following the termination of its merger agreement with an affiliate of Cerberus, which dismissal the Second Circuit affirmed on appeal.

    • Defended BrightView Holdings, Inc., MVC Captial, Inc., Gener8 Maritime, Inc., RiskMetrics Group Inc., Alloy Inc., Vishay Intertechnology Inc., IDT Corp. and Daiwa Securities America Inc. in class action securities litigation.

    • Defended senior officers and directors in securities fraud, derivative and/or ERISA litigation commenced in the wake of alleged accounting or other irregularities involving, among others, Enron, WorldCom, Tyco, ACS, Cendant, Centerpulse and Bristol-Myers Squibb.

    • Represented the audit committee of a major health care company in connection with an investigation of accounting and regulatory issues.

    • Represented issuers, as well as officers and directors, in investigations relating to historical stock option grant practices.

    • Defended a noted newsletter editor and fund manager in SEC administrative proceedings relating to alleged misleading advertising.

    • Defended hedge funds and corporate insiders in short-swing profit cases.

    • Represented a construction manager on compensation claims for emergency repair work effected following Hurricane Sandy.

    • Defended a prominent Saudi Arabian banker in the defense of state criminal charges, regulatory proceedings before the Federal Reserve Board and civil RICO charges concerning the demise of the Bank of Credit and Commerce International.

    • Represented MAXXAM Group Inc. in litigation concerning its acquisition of The Pacific Lumber Co.

    Credentials

    Education

    • J.D., Yale Law School, 1976
    • A.B., Phi Beta Kappa, Hamilton College, 1973

    Bar Admissions

    • New York, 1977

    Clerkships

    • Honorable M. Joseph Blumenfeld, U.S.D.C., District of Connecticut, 1976 - 1977

    Court Admissions

    • U.S. Supreme Court
    • U.S.C.A., Federal Circuit
    • U.S.C.A., 1st Circuit
    • U.S.C.A., 2nd Circuit
    • U.S.C.A., 3rd Circuit
    • U.S.C.A., 5th Circuit
    • U.S.C.A., 9th Circuit
    • U.S.C.A., 11th Circuit
    • U.S.C.A., D.C. Circuit
    • U.S.D.C., Eastern District of New York
    • U.S.D.C., Northern District of New York
    • U.S.D.C., Southern District of New York
    • U.S. Tax Court

    Professional Affiliations

    • The Association of the Bar of the City of New York, Member: Committee on Federal Legislation, 1981-1984; Committee on International Law, 1984-1987; Committee on Federal Courts, 1988-1991; Committee on Securities Regulation, 1999-2002
    • American Bar Association
    • American Bar Foundation, Fellow
    • Federal Bar Council
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