New York Law School, J.D., 1987
Manhattan College, B.A., 1984
America’s Top Litigators
Best Lawyers, since 2005
Best Lawyers, Securities / Capital Markets Law 'Lawyer of the Year' New Orleans 2014
Louisiana Super Lawyers
New Orleans Magazine, Top Lawyers
AV® Preeminent™ Peer Review Rated in Martindale-Hubbell
Joseph J. Arenson Award
- New Jersey
- New York
Thomas A. Roberts' practice focuses on complex commercial litigation, emphasizing the defense of securities brokerage firms, financial service firms and professionals. He also represents the telecommunications industry in litigation and regulatory matters. Tom has appeared extensively in federal and state courts, arbitration proceedings before all major self-regulatory organizations, and private dispute resolution organizations. He is actively engaged in counseling and representing firms and their employees who are the subject of regulatory investigations. He also serves as general counsel for the boards of several trade associations, providing general antitrust advice.
- Represented national broker-dealers and registered financial advisors before FINRA arbitration panels and in state and federal courts across the country, including Louisiana, Arkansas, Nevada, Mississippi, Tennessee, Virginia, Texas, North Dakota, South Dakota, New Mexico, Massachusetts, New York, New Jersey, Connecticut, Florida, Colorado, Illinois, Ohio, and South Carolina and before the Judicial Panel on Multidistrict Litigation.
- Successfully represented the CEO of a publicly traded oil and gas company in a securities class action, following the revision of audited financial statements concerning reported natural gas reserves.
- Defeated claims against a broker-dealer and financial advisor, concerning the sale of variable annuities in Louisiana state court, by arguing that the variable annuities were insurance products and the plaintiff’s claims were therefore time-barred.
- Successfully represented a broker-dealer concerning allegations of material omissions about the sale of Auction Rate Securities at trial in the U.S. District Court, and on appeal pending before the U.S. Court of Appeal for the Fifth Circuit.
- Represented a national broker-dealer in a case where a registered representative was selling away from the firm. Defeated class allegations and settled the matter on terms very favorable to the client.
Tom is an active member of the Securities Industry and Financial Markets Association’s Compliance and Legal Division and has contributed to the Business Lawyers’ Annual Review of Securities Case Developments.
His community involvement includes service on the Board of Directors of the Telluride Academy in Telluride, Colorado.
- January 6, 2017
- August 15, 2016
- December 24, 2015
- August 17, 2015
- August 18, 2014
- January 2, 2014
- August 15, 2013
Tom has spoken at seminars and authored articles for the Practicing Law Institute and Tulane University Law School. He has taught at a program sponsored jointly by New York Law School and Tulane University Law School in London, England.
- McGlinchey Stafford PLLC
- Drinker Biddle & Reath (formerly Shanley & Fisher), New York, New York