Tom serves as coverage and claims monitoring counsel for directors and officers liability insurers, overseeing securities class action, derivative, and ERISA litigation against insureds. He also practices in the areas of corporate and securities law, including advising clients regarding securities offerings, securities enforcement matters, and regulatory compliance. Tom represents clients in securities litigation and administrative proceedings, and serves as an expert witness on securities law topics. Tom is a former Commissioner of the Ohio Division of Securities and a former Assistant Director of the Ohio Department of Commerce. He is the author of the book Ohio Investment Adviser Manual (LexisNexis) and several law review articles regarding securities law.

Education

The Ohio State University College of Law (J.D., with honors, 1990)

Ohio State Law Journal, 1988-1990

University of Notre Dame (B.B.A. 1987)

Practice Areas

Directors & Officers Liability and Insurance

Corporate and Securities Law

Securities and Investment Adviser Regulation and Compliance

Securities Litigation, Arbitration, and Administrative Proceedings

Expert Witness

Bar Admissions

Ohio

U.S. District Court, Southern District of Ohio

Noteworthy Matters

Serve as Special Counsel for Ohio Bureau of Workers' Compensation in complex securities litigation

Serve as insurers' coverage and monitoring counsel for claims based on alleged stock option backdating

Represent clients before the Ohio Division of Securities is connection with securities registration and exemption filings, enforcement matters, licensing issues, control bid (takeover) filings, and administrative proceedings

Participated in drafting, advocacy, and implementation of numerous legislative initiatives, including the Ohio Corporate Reform/Sarbanes-Oxley Act of 2003 (H.B. 7), the Ohio Investment Adviser Act of 1999 (H.B. 695), and federal Gramm-Leach-Bliley Act of 1999 (Pub. L. No. 106-102).

Presented testimony to the United States Congress and the Ohio General Assembly

Assistant Director, Ohio Department of Commerce, 2000-2004

Commissioner, Ohio Division of Securities, 1996-2000

Adjunct Professor (Securities Regulation), Capital University Law School, 1998-2003

Frequent speaker on securities law topics

Noteworthy Publications

Ohio Investment Adviser Manual (LexisNexis 2002) (with annual update)

State Law Issues Relevant to SEC-Registered Advisers, in Kirsch's Investment Adviser Regulation (PLI 2^nd ed. 2007)

Civil Liability and Remedies in Ohio Securities Transactions, 70 U. Cin. L. Rev. 939 (2002) (with Michael Miglets and Keith Rowley)

An Overview of Am. Sub. H.B. 695's Amendments to the Ohio Securities Act and a Guide to Ohio 's New Investment Adviser Provisions, 28 Cap. U. L. Rev. 359 (2000)

The Vitality of the Ohio Laws Designed to Encourage Negotiated Takeovers, 23 U. Day. L. Rev. 515 (1998)

Viewing theColumbus Skyline: Incorporating Federal Law into the Anti-Fraud Standard of the Ohio Securities Act, 28 U. Tol. L. Rev. 301 (1997)

Membership and Community Involvement

Ohio State Bar Association (Corporation Law Committee)

Ohio Division of Securities Takeover Advisory Committee

Columbus Bar Association

Dublin Youth Athletics

Honors/Awards

The Ohio State University College of Law Distinguished Recent Alumnus Award

North American Securities Administrators Association Outstanding Service Award

Columbus Business First Newspaper Forty Under 40

Website Articles

Client Alert SEC's Dim View of Indemnification Darkens

Client Alert Supreme Court to Consider Loss Causation

A Summary of Ohio House Bill 7 (the 2003 Ohio Corporate-Securities Reform Act)

An Overview of Ohio Investment Adviser Law

An Overview of Ohio's Takeover Laws

Basics of Ohio Securities Law

Common State Law Issues Facing SEC-Registered Investment Advisers

Cover Securities Under the Ohio Securities Act

Custody of Client Funds and Securities by Ohio Investment Advisers

Financial Advising by Attorneys

Insider Trading: Evolution, Prevailing Theories and Recent Developments

Liabilities and Remedies for Securities Violations Under Ohio Law

The Investment Adviser Compliance Program: A to Z