Thomas J. McGonigle
Seventh Floor
Washington, DC 20001
T: (202) 661-7010
F: (202) 661-7059
21st Floor
New York, NY 10036
T: (212) 880-3624
Practice Areas
- Audit, Accounting & Financial Reporting
- Broker-Dealer Advisory & Counseling
- Cybersecurity, Cybercrime, & Incident Response
- Independent Monitoring & Independent Consulting
- International Advisory
- Investment Advisory
- Regulatory Enforcement Defense
- Trading & Markets Counseling
- White Collar Defense, Investigations & Compliance Counseling
Education
- J.D., cum laude, Georgetown University Law Center, 1982
- B.S., Political Science, magna cum laude, University of Scranton, 1979
Admissions
- District of Columbia
- New York
- U.S. Court of Appeals, Second Circuit
- U.S. District Court, District of Columbia
- U.S. District Court, Eastern District of New York
- U.S. District Court, Southern District of New York
- U.S. Supreme Court
Practice Areas
- Audit, Accounting & Financial Reporting
- Broker-Dealer Advisory & Counseling
- Cybersecurity, Cybercrime, & Incident Response
- Independent Monitoring & Independent Consulting
- International Advisory
- Investment Advisory
- Regulatory Enforcement Defense
- Trading & Markets Counseling
- White Collar Defense, Investigations & Compliance Counseling
Mr. McGonigle focuses his practice on securities and investment regulation. His clients include broker/dealers, investment advisers, public companies, banks and individuals. He has experience in matters involving equity, fixed income, and derivative trading; broker/dealer and investment adviser compliance system design and review; fiduciary investment issues; regulatory registration issues; transactional disclosure issues; regulatory enforcement and grand jury representation; and litigation in federal and state courts, administrative proceedings, disciplinary hearings and arbitrations.
Mr. McGonigle also counsels broker-dealers and investment advisors on AML issues and has defended a broker-dealer in an AML self-regulatory organization investigation.
Mr. McGonigle was named the 2016 Securities Regulation “Lawyer of the Year" in the Washington, DC market by The Best Lawyers in America®. He also has been listed as a Washington DC Super Lawyer (2012-15).