Tom Fini has extensive experience handling complex business disputes in federal and state courts across the country, as well as domestic and international arbitration matters. Tom's experience includes representing and counseling companies and individuals in securities class actions, corporate governance matters, derivative class actions, complex contract disputes and antitrust litigation. He also counsels companies, corporate directors and officers regarding regulatory compliance and fiduciary obligations.
Tom also handles internal corporate investigations, including investigations by the SEC and the Department of Justice. He has represented companies in connection with the theft of trade secrets and proprietary trading methodologies. Tom also provides advice concerning ethical and professional responsibility issues facing lawyers and law firms.
Tom received his B.A., magna cum laude, from New York University, and his J.D., cum laude, from the New York University School of Law, where he received the Edward Weinfeld Prize for distinguished scholarship in the area of federal courts. Following law school, he served as a law clerk to the Honorable Robert E. Cowen of the U.S. Court of Appeals for the Third Circuit.
Tom is an active member of the New York State Bar Association's Commercial and Federal Litigation Section, including the Commercial Division Committee, and has actively participated in providing input on the various changes to the rules of the New York State Court's Commercial Division.
“Recent Trends in Securities and Derivatives Litigation: The Second Circuit and the New York Appellate Division Address Scope of Duties and Effect of Disclosure by Broker-Dealers,” Securities Regulation Law Journal, Volume 31, Issue 3 (2003).
“The Scope of the Van Dusen Rule in Federal-Question Transfers,” 1992/1993 NYU Annual Survey of Law 49 (1992).
•Hon. Robert E. Cowen
U.S. Court of Appeals, 3rd Circuit
•Representing Bank of America in New York, Nevada, Illinois and Oklahoma federal courts involving repurchase claims made with respect to hundreds of millions of dollars of mortgage-backed securities.
•Representing co-defendants in the multistate, multidistrict In re Sumitomo/Global Minerals and Metals Corporation antitrust litigation, involving an alleged worldwide conspiracy to manipulate the price of copper. These related litigations included numerous antitrust class actions filed in federal and state court, as well as enforcement proceedings brought by the Commodity Futures Trading Commission.
•Representing Bear, Stearns & Co. in a federal litigation involving a $164 million verdict that was successfully appealed to the U.S. Court of Appeals for the Second Circuit. The case resulted in the definitive Second Circuit decision addressing the scope of common law and fiduciary duties owed by broker-dealers to their customers.
•Representing a global supply company in international arbitration before the London Court of International Arbitration.
•Representing Pfizer in federal securities class action and derivative litigation relating to marketing and sale of Celebrex and Bextra.
•Representing Omnicare in Delaware Chancery Court involving a complex contractual dispute with a major nursing home provider.
•Representing investors involved in takeover bid for Riviera Holdings Corporation.
•Representing former officers and directors of an Internet service provider in a federal class action securities litigation.
•Representing Pfizer, Inc. in takeover and corporate governance litigation in connection with its successful merger with Warner-Lambert Company.
•Representing co-defendants in a federal class action antitrust suit involving the waste hauling industry in the New York region.
•Conducting corporate antitrust audits, and developing and implementing antitrust compliance programs.
•Representing international corporation with respect to Foreign Corrupt Practices Act investigation.
News & Resources
•Recent Trends in Securities and Derivatives Litigation: The Second Circuit and the New York Appellate Division Address Scope of Duties and Effect of Disclosure by Broker-Dealers Oct 01, 2003