- Broker-Dealer Advisory & Counseling
- Investment Advisory
- Regulatory Enforcement Defense
- Securities & Complex Commercial Litigation
- J.D., Georgetown University Law Center, 1974
- B.A., Georgetown University, 1971
- District of Columbia
Tom Ferrigno, a former Chief Counsel in the SEC’s Division of Enforcement, focuses his practice 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 and counsels broker-dealers and investment advisers regarding regulatory requirements.
Mr. Ferrigno has been consistently named to the Best Lawyers in America, including in 2019.