Denis Patrick KelleherPartner
Denis Patrick Kelleher is a partner at TMR and a highly experienced litigator who has represented 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 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, New York County District Attorney’s Office, New York State Attorney General’s Office involving allegations of securities, bank, tax, insurance, health-care, wire and mail 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 (formerly NYSE and NASD) 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 a senior officer of a “payday” loan company in a felony indictment in NY County and a related federal class action lawsuit
- Successfully represented a celebrity endorser in a federal consumer fraud class action lawsuit
- 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, the Association of the Bar of the City of New York, the Federal Bar Council, the New York County Lawyers Association and the National Association of Criminal 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 Law School (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 and Third Circuits.
J.D., St. John's University Law School, 1993
B.A., Skidmore College, 1989
U.S. District Courts for the Southern and Eastern Districts of New York
U.S. Courts of Appeals for the Second and Third Circuits
New York State Bar
New York Council of Defense Lawyers
Association of the Bar of the City of New York
Federal Bar Council
New York County Lawyers Association
National Association of Criminal Defense Lawyers