Thomas M. Campbell

Starting after graduation in 1983, as a litigation associate at the Wall Street firm of Cahill Gordon & Reindel, LLP, I have been practicing law New York City for the past 31 years. From 1991 through June of 2015, I practiced with partners in my own firm, Smith Campbell, LLP, handling primarily commercial litigation, securities arbitrations and regulatory matters.

After 24 years my partner and I decided to close the Smith Campbell, LLP firm on May 31 of 2015 with the end of our lease at 100 Wall Street. I now practice in my new firm: Thomas M. Campbell Law Office, P.C. My new contact information is set out above. As at Smith Campbell I continue to represent clients in the financial services industry in FINRA, SEC and State regulatory matters, and in arbitrations and court proceedings throughout the United States involving securities, employment, general contract and tort claims.

For companies of various sizes, I have litigated and arbitrated a variety of legal issues arising from employment relationships, including wrongful termination, age discrimination, racial discrimination, sex discrimination wages, overtime, breach of duty of loyalty claims and compensation issues (including bonuses, carried interest, deferred compensation and stock plans). I have appeared before the EEOC and the New York State Division of Human Rights to defend employers who have claims filed against them by current or former employees.

I also litigate and advise companies and individuals concerning restrictive covenants, confidentiality agreements, garden leave, Regulation S-P privacy issues, and related disputes. I have appeared in federal and state courts and arbitrations across the country to litigate such matters in numerous industries.

I have substantial experience in litigating disputes between and among securities firms and registered representatives regarding employment issues, including so-called “raiding” cases. In the latter context, I many times have represented member firms and registered representatives in injunction hearings in federal and state courts throughout the country and involving alleged “raiding” in the U.S.A., Canada, Luxembourg and Brazil.

I also routinely counsel clients on issues related to hiring, termination, protection of intellectual property and trade secrets, and policies concerning restrictive covenants, confidentiality agreements, garden leave policies and Gramm-Leach-Bliley privacy matters.

FINANCIAL SERVICES ARBITRATION AND REGULATORY MATTERS

I have been representing financial services firms and individuals (investment bankers, traders, financial planners, registered representatives and investment advisors) in customer disputes and regulatory matters since1987. I have developed particular expertise representing both securities firms and individual financial advisors in retail and institutional customer disputes before FINRA, the American Arbitration Association and other forums. I routinely appear before federal and state regulatory agencies and the national self-regulatory organizations in compliance and disciplinary matters, on behalf of both individuals and member firms.

The Thomas M. Campbell Law Office runs a lean operation where all clients are given the personal attention of Mr. Campbell. We are committed to providing a high level of service, yet no case is ever over-staffed and client charges are kept to a minimum. We are committed to providing excellent client service and make it a point never to over-commit our resources or strain capacity. Indeed, we are diligent to ensure that client needs and concerns are addressed in a timely manner and we respond to client communications promptly.