Thomas P. DeFranco

Tom is a seasoned litigator who focuses his practice on securities and complex commercial litigation, regulatory investigations, and enforcement defense on behalf of financial institutions, public companies, and individuals. He has obtained successful results for his clients at virtually every stage of litigation in both state and federal court. Tom's clients benefit from his significant trial experience, including a six-day jury trial against the Securities and Exchange Commission, and stand-up argument experience in both state and federal courts of appeal.

He routinely represents clients facing investigation and enforcement actions from financial regulators, including the SEC, CFTC, FINRA, and state securities regulators. These representations touch on a wide variety of issues, including disclosure or offering fraud, insider trading, market manipulation, lack of registration, and failure to maintain adequate policies and procedures. In connection with this practice, Tom regularly advises clients on their obligations under the federal securities laws. He has also represented clients subject to investigation by the DOJ.