FacultyFaculty/Author Profile
Thomas P. Smith, Jr.

Thomas P. Smith, Jr.

U.S. Securities and Exchange Commission
Assistant Regional Director, Division of Enforcement
New York, NY, USA


Tom Smith is an Assistant Regional Director in the SEC’s Enforcement Division, working from the New York Regional Office.  Tom joined the SEC in 2004, and has worked on numerous investigations, including ones involving Ponzi schemes, accounting fraud, market manipulation, insider trading, the operation of alternative trading systems, and auditor independence.  Tom received his law degree from the Georgetown University Law Center in 1998 and received a B.S. in Mechanical Engineering from the United States Naval Academy in 1988.  Between college and law school, Tom served as a commissioned officer in the U.S. Navy’s submarine force.
Thomas P. Smith, Jr. is associated with the following items:
Web Segment  Web Segment SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers - SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers - SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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