Tom has focused his practice on representing financial institutions for over 30 years, with particular experience serving banks, bank holding companies, and stand-alone trust companies.
Tom assists financial institutions with the following:
- Public securities offerings and private placements
- Ongoing counsel regarding reporting obligations under the Securities Exchange Act of 1934
- Interactions with both federal and state banking and securities agencies on a wide variety of regulatory issues, including enforcement actions and agreements, as well as general corporate matters
- Merger and acquisition transactions for community banking organizations, including purchase and sale of institutions, subsidiaries and branches
Tom was a founding member of, and continues to serve as General Counsel and Secretary to, the Association of Trust Organizations (formerly known as the Association of Independent Trust Companies, Inc.), a trade association of trust organizations, including non-depository trust companies.
Education
J.D., Case Western Reserve University, 1981
A.B., Miami University, 1978
Professional Associations
- Toledo Bar Association
- Ohio State Bar Association
- American Bar Association
- Association of Trust Organizations (f/k/a Association of Independent Trust Companies, Inc.), General Counsel and Secretary, 1989-present, Board of Directors, 1989-1992
- Erie Shores Council, Boy Scouts of America, Board of Directors, 1998-present, member of the Executive Committee, 2002-2007, Silver Beaver Award recipient, presented by Erie Shores counsel of the Boys Scouts, 2004
- Sylvania Historical Village, Inc., Board of Trustees, 2011-Present, President
Honors
- AV® Peer Review Rated by Martindale-Hubbell
- Best Lawyers in America, 2009-2024
- Best Lawyers “Toledo Banking and Finance Law Lawyer of the Year,” 2009, 2014, 2020
- Best Lawyers “Toledo Mergers & Acquisitions Law Lawyer of the Year,” 2013, 2022
Representative Matters
- Represented bank holding companies, banks, and non-depository trust companies in over 100 transactions ranging in size from $1 million to $3 billion in consideration
- Regularly represents clients’ interests with national and state bank regulatory agencies
- Assists financial institutions with registering securities with the U.S. Securities and Exchange Commission (SEC) for public distribution and with private placements of multiple types of securities, including common and preferred stock, subordinated debentures, and convertible instruments
- Assists public companies with their reporting obligations under the Securities Exchange Act of 1934, including annual, quarterly, and periodic reports and proxy materials
- Represented multiple national and state banks in bank holding company reorganizations and elections to be taxed under Subchapter S of the Internal Revenue Code
- Represented multiple public and private financial institutions in rebuffing undesired acquisitions and proxy fights
- Represented over 25 financial institutions, brokers, Registered Investment Advisors (RIAs), and other entities in the organization of non-depository trust companies