Denis Patrick Kelleher

Denis Patrick Kelleher is an attorney at LNI and a highly experienced litigator of over 30 years who represents individuals and business organizations in a wide variety of criminal, civil, regulatory and administrative investigations and trials.

Denis practices in the areas of white-collar criminal and regulatory defense and complex commercial litigation. He has represented numerous individuals in a wide variety of federal and state criminal and enforcement actions before the United States Justice Department, SEC, CFTC, all New York City District Attorney’s Offices, New York State Attorney General’s Office involving allegations of securities, bank, tax, insurance, health-care, wire, mail and crypto currency fraud as well as money-laundering. He has also represented individuals under investigation for broker-dealer trading and sales practices violations, civil RICO and other complex business disputes, bankruptcy-related litigation and contests concerning the suitability of certain financial products for investors. Denis also has represented individuals in internal corporate investigations in a wide-variety of industries (including investigations involving the Foreign Corrupt Practices Act and anti-money laundering statutes), as well as individuals and entities involved in complex FINRA securities arbitrations and/or enforcement and disciplinary proceedings.

After having worked as a Series 7 registered representative on Wall Street, Denis completed his legal education at St. John’s University School of Law and joined the Brooklyn District Attorney’s Office, rising to the level of Senior Assistant District Attorney. As an Assistant District Attorney, Denis tried more than 25 cases to verdict, including cases involving murder, armed robbery, burglary and narcotics trafficking.

Recent representative matters include:

Successfully represented an accountant in $60 million mail fraud indictment of media company with no charges being filed

Successfully represented head of crypto trading company with over $1billion in losses in federal investigation

Successfully represented head of municipal bond trading in several class action lawsuits

Successfully represented bond trader in FINRA investigation regarding communications and trading practices with no charges being filed

Successfully represented CFO of a “payday” loan company in a felony indictment in NY County and a related federal class action lawsuit

Successfully represented owner of service companies in federal tax fraud indictment

Successfully represented company with multi-million account stated claim against NYC

Obtained a temporary restraining order and settlement against broker dealer in a breach of contract action for an investor in the broker dealer

Obtained a $1.8 million FINRA arbitration award for a registered investment advisor against their broker dealer for breach of contract and negligence

Obtained a successful verdict for an investment banker in an FINRA arbitration by his former employer for “liquidated damages” in an employment contract

Obtained dismissal of all charges in the indictment before trial for a stock promoter alleged to have engaged in securities fraud involving manipulation of “penny stocks”

Obtained acquittal for the owner of construction company on bank fraud and conspiracy to commit money laundering counts in connection with a federal “check-kiting” scheme

Persuaded the U.S. Department of Justice to drop an investigation of a major international bank’s mid-level manager for money laundering

Successfully avoided enforcement action and sanctions against a registered-representative of major broker-dealer under FINRA investigation for multiple customer complaints alleging fraud, forgery and unsuitability of investments

Successfully achieved a non-criminal resolution for a representation of a wholesaler in large-scale New York State sales tax fraud and larceny investigation

Successfully litigated a broker-dealer’s motion to dismiss in a FINRA arbitration involving allegations of a $65 million fraud

Represented high level manager of a major international Fortune 500 corporation in connection with an investigation by the U.S. Department of Justice into alleged violations of the Foreign Corrupt Practices Act

Obtained a sizeable money settlement for a victim of a “cherry-picking” scheme perpetrated by his money manager and his broker dealer

Represented an insurance broker in connection with an investigation and prosecution by the United States Attorney’s Office for the Southern District of New York relating to the alleged issuance of policies for use in staged car accidents.

Represented brokers in a class action litigation concerning the setting of the US dollar Isdafix benchmark rate

Obtained reversal of obstruction of justice count at a securities fraud trial as well as a juror misconduct hearing after trial

Denis is a member of the New York Council of Defense Lawyers. Additionally, Denis served on the Criminal Justice Act Panel in the Southern District of New York for more than a decade.

Denis is a graduate of St. John’s University School of Law (1993) and Skidmore College (1989).

Denis is admitted to practice law in the New York, the United States District Courts for the Southern and Eastern Districts of New York, and the United States Courts of Appeals for the Second Circuit. Denis has also appeared many times across the country pro hace vice.