Follow us on Twitter
Bernstein Shur
News & Resources | Firm News
Portland, Maine – Continuing to expand its Securities Industry Practice Group with top talent, Bernstein Shur announced that Thomas G. Sheehan, former Senior Counsel for the U.S. Securities and Exchange Commission, has joined the firm in its Portland, Maine office.
Mr. Sheehan’s practice focuses on representing securities industry participants in regulatory, compliance, enforcement, and transactional matters, with an emphasis on counseling the investment management industry and financial services companies.
Prior to joining Bernstein Shur, Mr. Sheehan had a long career with Citi Global Transaction Services and its Citi-acquired predecessor, Forum Financial Group (together “Citi”). He held several legal and business positions at Citi over the 16 years (1993-2009) he was employed there, including Counsel, Director of Relationship Management, Director of Product, and Director of Business Development.
“We are proud that Tom has joined the Securities and Financial Services Group,” said Charles Miller, managing shareholder of the firm. “He signifies the addition of yet another member of this group whose high level of expertise and experience is uncommon in the northern New England market.”
Immediately prior to joining Citi, Mr. Sheehan served for six years at the United States Securities and Exchange Commission in Washington, D.C., first as Senior Counsel in the Office of the General Counsel and then as Senior Counsel in the Division of Investment Management, where he served in both the Office of Enforcement Liaison and the Office of Investment Company Regulation. In those positions, he advised the Commission on legal and policy issues raised by rulemaking, exemptive applications, enforcement, and legislative matters, with a particular focus on assisting the Commission in formulating enforcement policies and positions in cases involving investment companies and registered investment advisors.
Mr. Sheehan is not yet admitted to the Maine Bar, but is a member of the Bar of the District of Columbia.
Mr. Sheehan is a graduate of University of Chicago (Doctor of Law), and holds an MBA and AB from Cornell University.