Brian D. Waller
Brian is senior counsel in the firm’s Business Litigation and White Collar Criminal practice groups. He is an experienced trial and appellate attorney whose practice focuses on white collar criminal defense, complex commercial litigation, corporate internal investigations and regulatory matters in federal and state courts. His white collar defense experience includes representing individuals and corporations in cases involving allegations of securities fraud, public corruption, antitrust violations, Foreign Corrupt Practices Act (FCPA) violations, health care fraud, bank fraud, insider trading, environmental crimes, racketeering and computer offenses. His civil litigation experience encompasses cases involving complex business disputes, antitrust issues, SEC enforcement actions, securities violations, Medicaid fraud, breach of contract, breach of fiduciary duty, insurance coverage, professional liability and §1983 civil rights claims.
From 1993 to 1998, Brian served as an Assistant District Attorney in Bronx County, New York, where he handled a wide array of complex criminal investigations and prosecutions.
A representative sampling of Brian’s white collar criminal defense experience includes:
- Representing a former high-level New York state government official in a felony prosecution brought by the New York state Attorney General alleging corruption in connection with state retirement fund investments.
- Representing a political campaign contributor in connection with bribery and corruption charges brought by the U.S. Attorney for the District of New Jersey that led to the resignation of a U.S. Senator.
- Defending a former New York State Office of General Services official accused by the U.S. Attorney for the Northern District of New York of accepting bribes from landlords in exchange for favorable lease deals.
- Representing a technology company’s former sales executive charged with securities fraud and conspiracy in a six-week trial in the Eastern District of New York, with the jury finding his client not guilty on all counts.
- Defending a hedge fund co-founder charged with securities fraud by the U.S. Attorney for the Southern District of New York in connection with a $450 million Ponzi scheme.
- Representing a former CEO of a retail pharmacy chain charged with securities fraud in the Southern District of New York.
- Defending the president and CEO of a financial services company charged by the U.S. Department of Justice with a bid-rigging conspiracy in the municipal bond market.
- Representing the president of an international freight forwarding company in connection with a U.S. Department of Justice investigation into price-fixing of shipping surcharges. No charges were filed as a result of the investigation.
- Representing an American businessman in a U.S. Department of Justice investigation of FCPA violations involving bribes allegedly paid to a former Israeli Prime Minister. No charges were filed as a result of the investigation.
- Defending a British solicitor indicted by the U.S. Attorney in Houston for FCPA violations involving bribes paid to Nigerian government officials on behalf of a large public energy company and its then subsidiary.
- Defending an engineering/construction company and its president in connection with a prosecution brought by the U.S. Attorney for the Eastern District of New York alleging a conspiracy to defraud the U.S. Department of Transportation’s Disadvantaged Business Enterprise program.
- Representing an electric utility’s chief construction inspector who was charged by the U.S. Attorney for the Eastern District of New York with accepting bribes from construction contractors.
- Representing a construction company’s accountant in an investigation by the U.S. Attorney for the Eastern District of New York into allegations of theft from an employee benefit plan and defrauding a labor union. No charges were filed as a result of the investigation.
Fraud, Larceny & Money Laundering
- Defending an attorney charged by the New York County District Attorney with fraudulently soliciting funds from clients and using her escrow account to execute a large-scale Ponzi scheme.
- Representing a diamond dealer charged in the Southern District of New York with bank fraud in a massive check-kiting scheme.
- Defending an attorney charged by the New York County District Attorney with grand larceny and money laundering for stealing nearly $1 million from a colleague’s bank accounts.
- Representing an attorney charged in the Southern District of New York with bank fraud in a scheme involving the use of “straw buyers” and fraudulent applications to illegally obtain numerous bank mortgages.
Health Care Fraud
- Representing an oncologist under investigation by the U.S. Attorney for the Southern District of New York for purchasing and administering foreign cancer drugs that were not approved by the FDA.
- Defending a physical therapist charged by the U.S. Attorney in the District of Connecticut with defrauding Medicare and private insurers by billing for unapproved services.
- Representing an apartment building owner being investigated by the U.S. Attorney for the Southern District of New York for violations of the Clean Air Act, National Emission Standards for Hazardous Air Pollutants, and Comprehensive Environmental Response, Compensation and Liability Act in connection with allegations of improper asbestos removal. No charges were filed as a result of the investigation.
- Representing a former underboss of an organized crime family in connection with racketeering and murder charges brought by the U.S. Attorney for the Eastern District of New York.
Illustrative examples of Brian’s experience in civil and regulatory matters include:
- Representing a financial services company in a complex multidistrict class action litigation alleging an antitrust conspiracy in the municipal derivatives market.
- Representing trademark owners in a contract dispute over the proceeds of a licensing agreement with a multinational food and beverage corporation.
- Representing a corporate officer of a billion-dollar electronics manufacturer in an SEC securities fraud enforcement action.
- Representing foreign individuals in a complex lawsuit brought by a French bank alleging a breach of multimillion-dollar loan agreements through the use of shell companies formed in tax-haven jurisdictions to transfer the loan proceeds and conceal their assets to avoid repaying the loan.
- Defending a former New York state politician in a state court action brought by the New Mexico state Attorney General on behalf of the New Mexico State Investment Council alleging a breach of fiduciary duty in connection with a purported “pay to play” scheme.
- Defending an intellectual property lawyer in a malpractice matter involving a failure to secure a patent that caused alleged damages exceeding $100 million.
- Representing a law firm in a fee dispute among the attorneys who represented the plaintiff in a high-profile civil rights lawsuit against the city of New York.
- Representing brokers in a dispute with a Belgian shipping company over brokerage fees owed on an international shipping contract.
- Defending a pile-driving equipment manufacturer in a matter alleging breach of contract, breach of implied warranty and breach of express warranty with regard to the sale of a hydraulic pile hammer.
- Representing a pile-driving equipment manufacturer in a Texas lawsuit alleging fraud and deceptive trade practices in a dispute over the condition of a hydraulic vibratory pile driver purchased by a customer.
- Representing the victim of a tax-shelter fraud in a complex civil action against a major investment bank and accounting firm for claims of malpractice, fraud and breach of fiduciary duty.
- Representing a businessman plaintiff in a tax-shelter fraud case involving a purportedly sham $912 million loan and investment fund that led to the plaintiff incurring massive tax liabilities.
- Representing a diamond dealer in an action alleging trademark infringement, unfair competition, false advertising, deceptive trade practices and related claims.
- Obtaining a defense verdict at trial for a private corrections corporation in a case involving multiple alleged intentional tort and civil rights violations.
- Representing a freight broker in an action arising under the Interstate Commerce Act involving liability for unpaid freight charges for property transported in interstate commerce.
- Defending a dentist in a civil action brought by the New York state Attorney General alleging Medicaid fraud.
- Representing an insurance broker in a New Jersey malpractice action alleging a failure to procure flood insurance for an exotic rug dealer in connection with substantial losses caused by Hurricane Sandy.
- Representing a stock trader in an insider trading investigation being conducted by FINRA and the SEC. No actions were filed as a result of the investigation.
Brian has provided expert legal commentary for Court TV, NBC News, New York Daily News, Reuters, WPIX, BronxNet and other media outlets. He also frequently lectures on a variety of topics. Recent examples include:
- “New York City’s Stop & Frisk Policy”
- “Privileges in Civil & Criminal Litigation”
- “Taking & Defending Depositions”
- “Motion Practice in Federal & State Courts”
- “The Crime Fraud Exception to the Attorney-Client Privilege”
- “The Tripartite Relationship in Insurance Law”
- Selected to the New York Super Lawyers – Metro list, 2009–2017
- Federal Bar Council
- New York City Bar Association; Criminal Advocacy Committee, 2000–2003
- New York State Association of Criminal Defense Lawyers
Analyzing the Impact of SEC's Proposed Uniform Fiduciary StandardThe New York Law Journal
February 08, 2016