|
|
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
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