As a former senior SEC enforcement official, Tom Sporkin brings unique experience and insights to the individuals and businesses he represents in matters before the SEC, FDIC, CFPB, FINRA, CFTC, FinCEN, and other financial regulators. Mr. Sporkin has broad subject matter expertise 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 investigation, private litigation, and enforcement defense.
Mr. Sporkin 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 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 BuckleySandler, Mr. Sporkin spent 20 years with the SEC’s Enforcement Division, most recently as Chief of the Office of Market Intelligence 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. In 2009 and 2010, Mr. Sporkin was selected to be one of the leaders of two cutting-edge initiatives: the launch of the SEC’s Whistleblower Office and the launch of the Consolidated Audit Trail rule writing effort. While at SEC, Mr. Sporkin was involved in numerous investigations resulting in the SEC charging individuals and entities with stock fraud, insider trading, bank secrecy act violations, and FCPA violations.
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