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Desktop Image: DeFranco, Tom
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Thomas P. DeFranco

He/Him

Of Counsel

T 202.220.1928 Washington, D.C.
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Tom is a seasoned litigator who focuses his practice on securities and complex commercial litigation, regulatory investigations, and enforcement defense on behalf of financial institutions, public companies, and individuals. He has obtained successful results for his clients at virtually every stage of litigation in both state and federal court. Tom's clients benefit from his significant trial experience, including a six-day jury trial against the Securities and Exchange Commission, and stand-up argument experience in both state and federal courts of appeal.

He routinely represents clients facing investigation and enforcement actions from financial regulators, including the SEC, CFTC, FINRA, and state securities regulators. These representations touch on a wide variety of issues, including disclosure or offering fraud, insider trading, market manipulation, lack of registration, and failure to maintain adequate policies and procedures. In connection with this practice, Tom regularly advises clients on their obligations under the federal securities laws. He has also represented clients subject to investigation by the DOJ.

Practice Highlights

Regulatory investigations and enforcement

Tom represents and advises financial institutions, public companies, and individuals faced with investigation and enforcement action from state and federal financial regulatory agencies. He has extensive experience navigating the investigation process, counsels clients through the Wells Notice response process, and has taken the SEC to trial.

Litigation & arbitration

Tom routinely counsels clients through civil litigation and has achieved successful results at virtually every stage of litigation in state and federal court. These representations have touched on a wide range of disputes involving business torts including breach of contract, fiduciary duty claims, and efforts to pierce the corporate veil. Tom's litigation practice frequently includes representing broker-dealers through FINRA arbitration.

DOJ representations

Tom represents clients subject to investigation by the DOJ and, in addition to his financial services clients, has represented several clients in connection with two of the most significant pharmaceutical industry investigations of the last decade.
*Denotes an attorney's experience prior to joining Davis Wright Tremaine
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Admitted to Practice

  • District of Columbia, 2019
  • New York, 2016
  • U.S. Court of Appeals, 1st Circuit
  • U.S. Court of Appeals, 4th Circuit
  • U.S. District Court, Southern District of New York
  • U.S. District Court, Eastern District of New York

Education

  • LL.M., Securities & Financial Regulation, Georgetown University Law Center, 2015, with distinction
  • J.D., Georgetown University Law Center, 2014
  • B.A., Wake Forest University, 2010, cum laude
    • Pi Sigma Alpha

Professional Recognition

    • Named "One to Watch" by Best Lawyers in Securities Regulation, 2025
    • Above & Beyond Pro Bono Achievement Award, Sanctuary for Families, 2019

Background

    • Associate, Schulte, Roth & Zabel LLP, 2015-2021
    • Partner, McGonigle P.C., 2021-2022
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