Trial Lawyer and Litigator
Thomas Sjoblom is a highly experienced trial lawyer and litigator who has represented individuals and entities under investigation or prosecuted by the federal government, as well as sued by shareholders, for a variety of complex securities frauds. He has represented officers and directors of publicly traded and privately held companies, financial institutions (including banks, brokers, dealers, investment advisors, investment companies, and hedge funds), lawyers (both in-house and outside counsel), and accountants.
He has represented them in nearly every stage of civil and parallel criminal investigations and proceedings before the United States Securities and Exchange Commission, the Commodities Futures Trading Commission, the United States Department of Justice, State Attorney Generals, state securities commissions, FINRA, and the New York Stock Exchange.
He has also appeared on behalf of clients before various state supreme courts, before the United States Courts of Appeal, and filed petitions for certiorari in the United States Supreme Court.
He has represented them in nearly every stage of civil and parallel criminal investigations and proceedings before the United States Securities and Exchange Commission, the Commodities Futures Trading Commission, the United States Department of Justice, State Attorney Generals, state securities commissions, FINRA, and the New York Stock Exchange.
He has also appeared on behalf of clients before various state supreme courts, before the United States Courts of Appeal, and filed petitions for certiorari in the United States Supreme Court.
Private Practice
From 2002 to 2009, Thomas was a partner in the Washington DC and New York offices of two international law firms where he was chair and co-chair of the Securities Litigation and SEC Defense Enforcement Practice Groups.
In private practice, Thomas has represented chairpersons, CEOs, CFOs, and other officers and directors of public companies, general counsel of public companies and hedge funds, officers of privately held companies, brokers, dealers, promoters, principals, and traders of hedge funds, accountants, school boards involved in issuing municipal bonds, outside securities counsel, and investors.
In private practice, Thomas has represented chairpersons, CEOs, CFOs, and other officers and directors of public companies, general counsel of public companies and hedge funds, officers of privately held companies, brokers, dealers, promoters, principals, and traders of hedge funds, accountants, school boards involved in issuing municipal bonds, outside securities counsel, and investors.
These representations have involved:
- Financial Fraud, including Financial Statement Presentation, Options Backdating, and Intercompany Transfers within Hedge Fund Complexes
- Sarbanes Oxley Compliance
- Insider Trading
- Market Manipulation
- Best Execution Practices of Mutual Funds, Investment Advisers, and Brokers
- Hedge Funds and Private Equity
- International Securities Fraud
- Foreign Corrupt Practices Act
- Reverse Mergers
- SEC Periodic Reporting, including Reports Filed by International Companies
- International Crypto Currency Civil and Criminal Investigations
- Unregistered Offerings
- Challenging Global SEC Receivership Proceedings
- Presidential Pardons