Tom McCabe

Tom McCabe has an extensive background in the securities industry. He has worked on the regulatory side of the industry as well as in private practice. He began his career in the Enforcement Division of the New York Stock Exchange. He then moved to the Market Surveillance Division and remained there until joining the American Stock Exchange Enforcement Division where he was promoted to the position of Director, supervising 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.

Since 1985, he has been engaged in private practice and has represented many broker-dealers in all aspects of SEC, FINRA and self-regulatory inquiries, investigations, disciplinary and administrative proceedings, arbitrations and litigation.

Mr. McCabe has successfully handled over 200 matters. He recently defended a securities professional in a trial in bankruptcy court in the Southern District of New York.

Mr. McCabe also has extensive corporate experience, having counseled many companies primarily engaged in business as securities traders and broker-dealers.

Mr. McCabe received a J.D. degree from New York Law School, cum laude. He is a graduate of Iona College and University College Dublin.


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