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Biography

As a former senior Securities and Exchange Commission (SEC) enforcement official, Tom Sporkin brings unique experience and insights to the individuals and businesses he represents in matters before the SEC, the Federal Deposit Insurance Corporation (FDIC), the Consumer Financial Protection Bureau (CFPB), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the Financial Crimes Enforcement Network (FinCEN), and other financial regulators.

Mr. Sporkin has broad experience across all SEC program areas, and continues to monitor key developments at the SEC and other bank and financial regulatory agencies. His practice focuses on compliance counseling, internal investigations, private litigation, and enforcement defense. He has particular experience with whistleblower matters, having been one of the leaders in launching the SEC’s Whistleblower Office and writing the whistleblower rules called for by the Dodd-Frank Act. Drawing from his experience and insights, he is often called upon to advise financial institutions and public companies on sensitive whistleblower issues.

Before joining Buckley Sandler as a Partner, Mr. Sporkin spent 20 years with the SEC’s Enforcement Division, most recently as Chief of the Office of Market Intelligence (OMI), where he oversaw a multidisciplinary staff of more than 50 senior enforcement attorneys, accountants, market surveillance specialists, and analysts tasked with identifying and investigating conduct that could give rise to violations of the federal securities laws. Prior to running OMI, Mr. Sporkin co-managed a staff of 20 enforcement lawyers overseeing investigations into the Foreign Corrupt Practices Act (FCPA), financial fraud, insider trading, and manipulative trading. He co-led two cutting-edge initiatives including the launch of the SEC’s Whistleblower Office and the launch of the Consolidated Audit Trail rule writing effort.

Noteworthy matters include:

  • Represented the CEO of a publicly traded company in an SEC investigation into securities fraud and disclosure issues
  • Represented the CFO of a major pharmaceutical company in an SEC investigation into disclosure and accounting issues
  • Represented an audit firm in an SEC investigation regarding fraud allegations
  • Conducted an independent review of a registered investment company pursuant to the terms of an SEC order
  • Represented the Managing Director of a trust company in an SEC investigation regarding asset securitizations

With his broad experience, Mr. Sporkin is often invited to comment on new regulations and ongoing regulatory matters on television and in print media. He is an adjunct law professor at the George Mason University School of Law and the Catholic University Columbus School of Law. He serves on the Law and Advisory Council at the University of Albany’s Institute for Financial Market Regulation, and is a former Co-chair of the Intelligence Subcommittee of the Department of Justice (DOJ) Securities & Commodities Fraud Working Group. He received his J.D. from American University and his B.S. from the University of Maryland.

Webcasts & Speaking Engagements

In The News

Articles & Special Alerts

Awards and Recognitions

Awards & Recognitions

  • Legal 500 2016: Recognized in the Litigation - White-Collar Criminal Defense practice area
  • Super Lawyers 2016: Securities Litigation, Criminal Defense: White Collar
  • Super Lawyers 2015: Criminal Defense: White Collar
  • Legal 500 2014: Recognized in the Litigation - White-Collar Criminal Defense practice area 
  • Washington Post Magazine's Top Attorneys in the Washington, DC, Metro Area 2014: Criminal Defense (White Collar)
  • Super Lawyers 2014: Criminal Defense (White Collar)
  • Recognition in Corporate Responsibility Magazine's 2014 Legal Who's Who, nominated by legal and business communities
  • June 2012 - SEC Irving M. Pollack Award for service in the public interest; dedication; fairness and compassion; and professional expertise and integrity
  • July 2011 - SEC's Law & Policy Award for serving on the Dodd-Frank Implementation Team
  • July 2011 - SEC Chairman's Award for Excellence for serving on the Flash Crash Team
  • June 2002 - SEC Chairman's Award for Excellence for Real Time Enforcement
  • June 2001 - SEC Division Director Award for obtaining $26 million judgement in SEC v. Ferracone

Education

  • J.D., American University, 1992
  • B.S., University of Maryland, College Park, 1989

Admissions

  • District of Columbia
  • U.S. District Court, District of Columbia

Government Service

  • Chief of the Office of Market Intelligence, U.S. Securities and Exchange  Commission

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