Tom serves as coverage and claims monitoring counsel for directors and officers liability insurers, overseeing securities class action, derivative, and ERISA litigation against insureds. He provides coverage opinions and represents insurers during the claim resolution process, including mediation efforts and other settlement negotiations. Tom also practices in the areas of corporate and securities law, including advising clients regarding securities offerings, securities enforcement matters, and regulatory compliance. He represents clients in securities litigation and administrative proceedings, and serves as an expert witness on securities law topics. Tom is a former Commissioner of the Ohio Division of Securities and a former Assistant Director of the Ohio Department of Commerce. He is listed in The Best Lawyers in America.
- Serve as insurers' coverage and monitoring counsel for subprime-based claims, including:
- Lehman Brothers
- Lehman Brothers Australia
- Ryland Homes
- Washington Mutual
- Represent clients before the Ohio Division of Securities in connection with securities registration and exemption filings, enforcement matters, licensing issues, control bid (takeover) filings, and administrative proceedings.
- Serve as expert witness on securities law topics.
- Served as insurers' coverage and monitoring counsel for stock option backdating-based claims.
- Served as Special Counsel for Ohio Bureau of Workers' Compensation in complex securities litigation.
- Participated in drafting, advocacy, and implementation of numerous legislative initiatives, including the Ohio Corporate Reform/Sarbanes-Oxley Act of 2003 (H.B. 7), the Ohio Investment Adviser Act of 1999 (H.B. 695), and federal Gramm-Leach-Bliley Act of 1999 (Pub. L. No. 106-102).
- Presented testimony to the United States Congress and the Ohio General Assembly.
- Assistant Director, Ohio Department of Commerce, 2000-2004
- Commissioner, Ohio Division of Securities, 1996-2000
- Adjunct Professor (Securities Regulation), Capital University Law School, 1998-2003
- Frequent speaker on securities law topics
Publications & Speaking Engagements
- Contributing Author, Knepper and Bailey's Liability of Corporate Officers and Directors (8th ed.)
- Ohio Investment Adviser Manual (2002)
- "Investment Advisers" (Chapter 27) in Friedman's Ohio Securities Law and Practice (3rd ed.)
- "Civil Liability and Remedies in Ohio Securities Transactions," 70 U. Cin. L. Rev. 939 (2002) (with Michael Miglets and Keith Rowley)
- "An Overview of Am. Sub. H.B. 695's Amendments to the Ohio Securities Act and a Guide to Ohio's New Investment Adviser Provisions," 28 Cap. U. L. Rev. 359 (2000)
- "The Vitality of the Ohio Laws Designed to Encourage Negotiated Takeovers," 23 U. Day. L. Rev. 515 (1998)
- "Viewing the Columbus Skyline: Incorporating Federal Law into the Anti-Fraud Standard of the Ohio Securities Act," 28 U. Tol. L. Rev. 301 (1997)
- Client Alert: SEC's Dim View of Indemnification Darkens
- An Overview of Ohio's Takeover Laws
- Basics of Ohio Securities Law
- Financial Advising by Attorneys
- Liabilities and Remedies for Securities Violations Under Ohio Law
Affiliations and Civic Involvement
- Professional Liability Underwriting Society
- Ohio State Bar Association (Corporation Law Committee)
- Ohio Division of Securities Takeover Advisory Committee
- Columbus Bar Association
- Ohio Premier Soccer Club - Board of Directors
- St. Brendan School - Volunteer
- The Best Lawyers in America
- Sutton Who's Who in American Law
- The Ohio State University College of Law Distinguished Recent Alumnus Award
- North American Securities Administrators Association Outstanding Service Award
- Columbus Business First Newspaper Forty Under 40
- The Ohio State University College of Law (J.D., with honors, 1990)
- Ohio State Law Journal, 1988-1990
- University of Notre Dame (B.B.A. 1987)
- United States District Court, Southern District of Ohio