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Office Delays

Winston-Salem office will open at 10:00 a.m. on January 19, 2018.

Charlotte office will open at 10:00 a.m. on January 19, 2018. 

Raleigh office will open at 10:00 a.m. on January 19, 2018. 

 

 

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January 16, 2018

U.S. Prosecutor Nekia Hackworth Jones Joins Nelson Mullins in Atlanta
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Thomas A. Ferrigno

Partner

101 Constitution Avenue, NW
Suite 900
Washington, D.C., 20001
tom.ferrigno@nelsonmullins.com

Tom Ferrigno is a partner based in Nelson Mullins Riley & Scarborough LLP’s Washington, DC office where he focuses on securities enforcement matters. His 30 years of legal experience includes the representation of public companies, broker-dealers, investment advisers, and individuals in investigations and litigation conducted by the Securities and Exchange Commission, the Department of Justice,...

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Tom Ferrigno is a partner based in Nelson Mullins Riley & Scarborough LLP’s Washington, DC office where he focuses on securities enforcement matters. His 30 years of legal experience includes the representation of public companies, broker-dealers, investment advisers, and individuals in investigations and litigation conducted by the Securities and Exchange Commission, the Department of Justice, FINRA, and other governmental and quasi-governmental authorities. He also provides disclosure advice to corporations, counsels broker-dealers and investment advisers regarding regulatory requirements, and conducts internal investigations. He is a former Chief Counsel in the SEC's Division of Enforcement.

FINRA, and other governmental and quasi-governmental authorities. He also provides disclosure advice to corporations, counsels broker-dealers and investment advisers regarding regulatory requirements, and conducts internal investigations. He is a former Chief Counsel in the SEC's Division of Enforcement.

Tom Ferrigno is a partner based in Nelson Mullins Riley & Scarborough LLP’s Washington, DC office where he focuses on securities enforcement matters. His 30 years of legal experience includes the representation of public companies, broker-dealers, investment advisers, and individuals in investigations and litigation conducted by the Securities and Exchange Commission, the Department of Justice,... FINRA, and other governmental and quasi-governmental authorities. He also provides disclosure advice to corporations, counsels broker-dealers and investment advisers regarding regulatory requirements, and conducts internal investigations. He is a former Chief Counsel in the SEC's Division of Enforcement.

Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Representative Matters

  • Representation of a major financial institution and associated persons in a three-year investigation conducted by multiple securities regulatory authorities that concerned supervision of registered representatives and investment adviser representatives
  • Representation of a broker-dealer in connection with an SEC investigation involving auction rate securities
  • Representation of a broker-dealer in connection with an investigation concerning sales of interests in hedge funds
  • Representation of a private equity firm in connection with an SEC investigation regarding fund-offering materials
  • Representation of an individual associated with a private equity fund in connection with an insider trading investigation
  • Representation of an investment adviser in connection with an SEC insider trading investigation
  • Representation of a private equity fund official in connection with an SEC insider trading investigation
  • Representation of a publicly held company in connection with SEC and DOJ investigation regarding possible violations of the Foreign Corrupt Practices Act
  • Representation of directors of a publicly held company in connection with an SEC investigation concerning related party transactions
  • Representation of a former officer of a government-sponsored entity in connection with an SEC investigation concerning disclosures relating to subprime mortgages
  • Representation of an officer of a publicly held company in connection with an investigation involving the Foreign Corrupt Practices Act
  • Representation of a manager of a hedge fund in connection with an investigation and litigation involving conflicts of interest disclosures

Education

  • Georgetown University, BA (1971)
  • Georgetown University Law Center, JD (1974)

Admissions

  • District of Columbia

Practice Areas

The bar rules of some states require that the standards for an attorney's inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.

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