Alert
Please keep in mind that merely contacting Nelson Mullins Riley & Scarborough LLP will not establish an attorney-client relationship. Nelson Mullins cannot represent you until the firm knows there would not be a conflict of interest, and the firm determines that it is otherwise able to accept the engagement. Accordingly, please do not send Nelson Mullins any information or documents until a formal attorney-client relationship has been established through an interview with an attorney and authorized in the form of an engagement letter from Nelson Mullins. Any information or documents sent prior to your receipt of an engagement letter cannot be treated as confidences, secrets or protected information of any nature. Clicking "Submit" acknowledges that you understand and agree with this notice.
Idea Exchange
The LatestView All
October 12, 2018
Nelson Mullins’ Toni Peck Selected as Chair for Lucy Daniels Center
Thomas A. Ferrigno
Partner
101 Constitution Avenue, NW
Suite 900
Washington, D.C., 20001
Suite 900
Washington, D.C., 20001
tom.ferrigno@nelsonmullins.com
Tom Ferrigno 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...
+ Read More
Tom Ferrigno 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.
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
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
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, 2019)
- Nominated to BTI Client All-Star Team (2013)
Tom Ferrigno 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.
- The Best Lawyers in America©, Corporate Compliance Law and Corporate Governance Law (2010-2017, 2019)
- Nominated to BTI Client All-Star Team (2013)
Highlights from the Firm’s Idea Exchange
Legal Strategies for Surviving Trump’s China Tariffs
October 4, 2018
Considerations for GDPR Compliance
October 2018
Carolina-Canada Connections — Vol. 10, No. 10
October 9, 2018
Reminder – Medicare Part D Notice due October 15th
October 5, 2018