About

Thomas practices securities regulation, and primarily represents companies in public offerings of securities registered with the U.S. Securities and Exchange Commission, and companies in private placement offerings of securities, including PIPE transactions, private equity investment transactions, exchange offerings, and mergers and acquisitions.  He regularly counsels clients regarding compliance with various aspects of the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act of 2002, and related rules and regulations.  Thomas also counsels public companies on maintaining compliance with the Nasdaq Stock Market, New York Stock Exchange and NYSE American rules, and with Over-the-Counter Markets eligibility requirements.  He  also counsels boards of directors regarding the design, implementation and administration of corporate governance and compliance programs.  

Thomas received his J.D. from Seattle University School of Law in 1997, attended Leiden University from 1989 to 1991, and obtained his B.A. from Evergreen State College in 1989.  He is licensed to practice law in the State of Washington.