Tom is the most recent member of the ELT and joined CFP Board as Managing Director, Enforcement. In this newly created position, Tom leads a team of attorneys and legal staff in the detection, investigation and prosecution activities at CFP Board. He started on January 4, 2021, after decades of experience in enforcement and regulatory compliance.
Tom transitioned to CFP Board from Buckley, LLP, where his practice focused on providing securities related advice to boards, executives and regulated entities. Prior to joining Buckley, he spent 20 years in the Enforcement Division of the Securities and Exchange Commission (SEC). While there, Tom served in various leadership roles including co-managing the Office of Internet Enforcement where he supervised investigations into all of the Division of Enforcement program areas. This effort included financial reporting, stock options backdating, insider trading, market manipulation, the Foreign Corrupt Practices Act, regulated entity compliance and internet-related securities fraud.
Tom was also tapped by SEC leadership to design, build and manage the Office of Market Intelligence, which included the Office of Market Surveillance, and the SEC’s Whistleblower program. In that role, he was responsible for the supervision of comprehensive investigations, triage investigations and data mining on all intelligence received by the SEC.
Tom received his Juris Doctor from Washington College of Law at American University and earned his Bachelor of Science degree from University of Maryland. He has been recognized in Super Lawyers (2019), Securities Litigation and The Best Lawyers in America (2019) Securities/Capital Markets. At the SEC, he received the Irving M. Pollack Award (2012) for demonstration of fairness and compassion as well as a dedication to public service and the SEC. He has also taught Securities Law at George Mason School of Law and Catholic University of America’s School of Law.