Thomas A. Ferrigno

Partner

101 Constitution Avenue, NW
Suite 900
Washington, D.C., 20001

T 202.689.2964

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, 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.

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

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

Articles & Speeches

Visit Idea Exchange

Recognitions

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.

The Best Lawyers in America©, Corporate Compliance Law and Corporate Governance Law (2010-2017)
Nominated to BTI Client All-Star Team (2013)

Overview

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

Articles & Speeches

Visit Idea Exchange

Recognitions

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.