Tom is a former SEC senior officer and trial lawyer with Foley & Lardner LLP. Tom is based in the firm’s Denver office where he is a member of the Securities Enforcement & Litigation Practice. His practice focuses on advising clients in securities enforcement and litigation matters, government investigations, class actions and complex commercial disputes. Tom, a former federal prosecutor and SEC trial lawyer, uses his extensive government experience to resolve his clients’ problems short of government action, while at the same time preserving their interests should litigation and trial become necessary.
Tom represents clients in matters involving the SEC, DOJ, FINRA, PCAOB and CFTC and other federal and state regulators and self-regulatory organizations. Tom conducts internal investigations for companies, audit committees and boards of directors. He also represents clients in class actions and complex commercial litigation in federal and state courts.
While at the SEC, Tom served in several capacities — as a staff attorney, trial attorney, supervisory trial counsel and ultimately as associate regional director in charge of enforcement and trials for the Denver regional office. In these roles, Tom litigated and supervised matters involving insider trading, financial fraud, broker-dealer and investment adviser misconduct, offering fraud, market timing, market manipulation and auditor negligence. Prior to the SEC, Tom was a federal prosecutor for the Department of Justice in Washington, D.C., prosecuting criminal tax and other white-collar matters in federal district courts.
- Represented chief executive officer of public company under SEC investigation investigation involving disclosure and executive compensation issues resulting in no government action and termination of investigation
- Represented chief financial officer of public company under SEC investigation involving disclosure issues resulting in no government action and termination of investigation
- Represented public company under SEC investigation involving accounting restatement resulting in no government action and termination of investigation
- Represented chief operating officer in SEC and DOJ parallel prosecutions involving revenue recognition and disclosure issues
- Represented limited partners in complex commercial dispute involving two private equity funds
- Represented public company in private securities fraud and commercial dispute resulting in dismissal of securities fraud claims
- Serves as outside fiduciary counsel to board of trustees of $50 billion public pension fund
- Lead SEC trial counsel in matter involving undisclosed perquisite compensation against two former CFOs of Omaha-based database marketing company resulting in successful four-week jury trial in Omaha, Nebraska
- Lead SEC trial counsel in disclosure fraud case against California-based paint manufacturer and its president resulting in successful two-week jury trial in Los Angeles, California
- Lead SEC trial counsel in case involving market timing at mutual fund complex against portfolio manager, head of marketing and sales employee resulting in partially successful ten-day bench trial in Denver, Colorado and Washington, D.C. before administrative law judge
- Lead SEC trial counsel in case involving large-scale financial fraud at Denver telecommunications company against several former executives including CEO, CFO and COO
- Lead SEC trial counsel in action involving $54 million Ponzi scheme relating to green energy fraud against president and sales promoter resulting in successful summary judgment motion and more than $200 million in monetary relief
- Lead DOJ Trial Counsel in criminal case against tax return preparer for preparing false tax returns resulting in successful jury trial in Alexandria, Virginia
- DOJ Trial counsel in criminal case against attorney for securities fraud, wire fraud, money laundering and tax fraud relating to pump and dump securities fraud scheme resulting in successful five-week jury trial in Las Vegas, Nevada
- DOJ Trial counsel in criminal case against chiropractor and wife for federal tax fraud resulting in successful three-week jury trial in Reno, Nevada
* Certain of these matters were handled prior to joining Foley.
- University of Denver Sturm College of Law (J.D., 1996)
- Georgetown University Law Center (LL.M., 1999)
- Taxation with distinction
- Pennsylvania State University (B.A., 1991)
- U.S. District Court, District of Colorado
- U.S. Court of Appeals
- U.S. Tax Court