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William J. Thomas
SEC Advisor - Former Enforcement Chief at the U.S. Securities & Exchange Commission (Non Lawyer)
New York

48 WALL STREET - 11th Floor
NEW YORK, NEW YORK 10005
UNITED STATES OF AMERICA
Telephone:    212.537.5035
Direct:           212.308.0038

E-mail: [email protected]


Areas of Concentration 

U.S. Securities Regulation
U.S. Securities Enforcement 
Investigations
​Foreign Corrupt Practice Act 
Matters 
Mergers & Acquisitions Due Diligence
Securities Analytics 
Anti-Money Laundering
​


Scope of Practice 

Mr. Thomas served as Enforcement Branch Chief for the United States Securities and Exchange Commission's Northeast Regional Office (New York) where he managed complex securities investigations and anti-money laundering cases.  Mr. Thomas has 30 years experience as a government investigator both with the SEC and previously as Assistant Regional Director for Operations of the Naval Investigative Service, supervising financial and counter-intelligence activities throughout the Northeastern United States.



Affiliations & Accomplishments
​

International Association for Asset Recovery

Swiss-American Lawyers Association

French-American Lawyers Association


Education

MBA Crummer School of Business, Rollins College
B.S (Criminology and Sociology) Florida State University


Publications, Presentations & Articles

Panelist, ACAMS New York Chapter, “AML—A Regulator’s Perspective (2008)

Moderator, ACAMS, “Enhanced Due Diligence” (2007)

“Check Out Your Broker & His Firm:  FINRA’s BrokerCheck Program” (2008)

“High Speed Hustle on the Internet:  Pump & Dump Schemes” (2008)

“FCPA For Dummies” (2009)



Languages

Mr. Thomas is fluent in English 



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