Brian Maloney is an associate in the Litigation Group. Brian’s practice focuses on complex commercial litigation. He has significant experience in banking, commercial and corporate trust disputes; maritime litigation; and securities litigation, arbitration and regulatory investigations, including civil and criminal enforcement inquiries under various provisions of the securities laws and the FCPA. Brian has also represented and advised broker-dealers, registered investment advisers, chief compliance officers and registered representatives in FINRA and SEC examinations and enforcement investigations, and in litigated enforcement proceedings through and including trial.

Brian received an A.B. degree (cum laude) from Dartmouth College and a J.D. degree (cum laude) from Boston College Law School. He is a member of the ABA, the NYC Bar Association, New York County Lawyers’ Association and the Dartmouth Lawyers’ Association.

 


Representative Experience

Notable matters include:

  • Representing ING Bank N.V., as Security Agent, in complex civil litigation arising out of collapse of the O.W. Bunker Group, a global provider of marine fuel. Litigation remains ongoing in the district courts and on appeal in the Second, Fifth, Ninth and Eleventh Circuits.
  • Resolved SEC investigation concerning sufficiency of broker-dealer compliance policies and procedures to prevent the misuse of material, nonpublic information.
  • Litigated five-week trial before SEC administrative law judge concerning scope of a registered representative’s duty to investigate private placement offerings of securities.
  • Represented Brazilian national in DOJ FCPA investigation of bribes paid in connection with an airplane maintenance contract with a foreign government.

As part of the Firm’s pro bono program, Brian has represented several indigent defendants in federal criminal proceedings via matters referred by the Criminal Justice Act panel in the Southern District of New York, as well as family law and immigration proceedings via the Firm’s partnership with Her Justice.


Recognition

Brian has been recognized annually as a ‘Rising Star’ in the 2014-2018 editions of New York Metro Super Lawyers.