Thomas J. McCabe is a Partner and the Chair of FINRA Regulation and Abritration at Warren Law Group.

Tom has over 30 years of experience as a corporate and securities attorney, with extensive experience in broker-dealer regulatory matters, arbitrations, compliance, litigation, and registration. He advises broker-dealers, hedge funds, traders, and private investors. He regularly represents clients in FINRA, SEC, self-regulatory inquiries, investigations, disciplinary and administrative proceedings, arbitrations, litigation, and mediations.

Tom also has broad experience in corporate law having counseled many companies primarily engaged in business as securities traders and broker-dealers. He has successfully represented clients in over 200 matters, including a recent trial in bankruptcy court in the Southern District of New York.

Prior to earning his JD from New York Law School, Tom worked for the New York Stock Exchange in the Division of Enforcement, and Market Surveillance Division. He subsequently worked at the American Stock Exchange where he was promoted to the position of Director of the Enforcement/Compliance Division. 

While at the Amex, he supervised a staff of Enforcement attorneys who investigated and prosecuted cases involving violations of the Federal Securities Laws and the Rules and Regulations of the SEC and the American Stock Exchange. He then went into private practice in 1985. His extensive background in the financial industry allows Tom to provide his clients with practical, real-world insight into complex problems.

Education
JD, New York Law School
MA, University College Dublin
BA, Iona College

Bar Admissions & Memberships
State of New York
Federal Court
Southern District of New York

Representative Matters Include:

  • Currently representing former employees of a broker-dealer who have commenced an arbitration to recover compensation: their share of trading profits.
  • Successfully represented former employee in expungement arbitration.
  • Handles numerous FINRA investigations and disciplinary actions involving alleged churning and unsuitable trading; alleged failure to supervise; alleged violations of rules regarding outside business activities and private securities transactions regulations.
  • Successfully represented respondents accused of fraud in disciplinary actions.
  • Successfully represented a defendant in a bankruptcy trial in the Southern District of New York: allegations of fraudulent conveyance.

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