Tom is a Director in the Global Investigations & Compliance practice. He is a former securities regulator at NYSE Regulation. He has led surveillance look back reviews for major Financial Institutions that related to Market Manipulation issues such as Section 5 concerns, Low Priced Market Manipulation, Toxic Financing, Insider and Restricted Stock trading. Tom has also conducted Anti Money Laundering (AML) transaction monitoring, look-back projects and KYC remediation services. Clients have included major SROs, as well as major commercial and investment banks.
Tom has conducted SEC mandated regulatory audits of trading policies and their implementation at a major SRO. He also led a team conducting a look-back review of over 84,000 alerts of possible violation of restricted trading rules by Proprietary Trading Desks of a major financial institution. In addition, he has assumed leadership roles in AML transaction monitoring look-back projects, and has also conducted KYC remediation projects.
Tom was on the management team for two AML look-backs that reviewed for multiple instances of suspicious transactions, and reviewed for possible Black Market Peso Exchange. He was also part of a team that conducted fraud training for the Internal Audit department of a major investment bank.
Prior to joining in Navigant in 2008, Tom spent over 28 years at the NYSE, as a Director of Market Surveillance and as a Principal in Regulatory Audit, in addition to many other regulatory roles. Tom was instrumental in the development of trading surveillances for the hybrid market and the drafting and implementation of trading surveillance policies and procedures in accordance with NYSE Rules and Federal securities laws. In addition to his regulatory experience, he spent 12 years in Trading Floor operations.