Brian Paul Maloney

My practice focuses on complex commercial litigation.  I have significant experience in a variety of contexts, including banking and commercial disputes; maritime litigation; corporate trust litigation for institutions acting as indenture trustees, collateral agents, and in other capacities; and securities litigation, arbitration and regulatory investigations, including civil and criminal enforcement inquiries under various provisions of the securities laws and the FCPA.  I have 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. 

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. Personally managing more than fifty federal actions pending nationwide.  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 Seward & Kissel's pro bono program, I have 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.