Thomas McHugh is an associate in the Firm’s Securities and Litigation practice groups. He represents broker-dealers, investment advisers and other financial institutions, along with senior officers, executives, financial advisors, branch management and other individuals in a wide range of securities, civil and employment-related matters in state court, arbitration, mediation and regulatory forums. Additionally, Thomas has successfully represented registered representatives in expungement proceedings before FINRA.
An alumnus of the Bressler summer law clerk program, Thomas joined the firm upon receiving his J.D. from the University of Notre Dame Law School. While at Notre Dame, Thomas was a member of the 7th Circuit Moot Court Team. As part of the team, Thomas briefed and argued a habeas petition before the 7th Circuit Court of Appeals in Chicago. Thomas also served as the Symposium Editor for the Journal of Legislation during his final year of law school.
- Conducted internal investigatory work culminating in a comprehensive evaluation to the client that allowed them to efficiently address concerns presented in a regulatory investigation.
- Briefed motions to compel claims filed in State and Federal court to Arbitration, enforcing client rights to venue and forum choices.
News & Insights
News & Alerts
- Alert, Financial Institutions Law Alert, 02.03.2021
Speaking Engagements & Events
- Podcast, 08.30.2021
Articles & Publications
- Alert, Financial Institutions Law Alert, 02.03.2020
- SIFMA’s C&L Luncheon in New York Features FINRA Head of Enforcement and Addresses Important Regulatory IssuesAlert, 12.07.2017
- Broker’s Lifetime Ban Twice Called Into Question by D.C. Circuit in Saad v. SEC – Leaving the Standard for Review UncertainAlert, 10.26.2017
Associations & Organizations
- New York State Bar Association
- National LGBT Bar Association