Samuel Thomas
About Samuel Thomas
Samuel Thomas serves as Senior Counsel in the Investment Adviser Regulation Office at the U.S. Securities and Exchange Commission, where he has worked since 2018. He has extensive experience in securities law, having held various positions at the SEC, FINRA, and other regulatory bodies.
Current Role at U.S. Securities and Exchange Commission
Samuel Thomas serves as Senior Counsel in the Investment Adviser Regulation Office within the Investment Management division of the U.S. Securities and Exchange Commission. He has held this position since 2018, contributing to the regulation and oversight of investment advisers. His role involves providing legal guidance and support related to investment management practices.
Previous Experience at U.S. Securities and Exchange Commission
Samuel Thomas has extensive experience at the U.S. Securities and Exchange Commission. He worked as an Honors Program Legal Intern in the Office of Compliance Inspections and Examinations from 2011 to 2012. He later served as an Attorney Adviser in the Division of Examinations from 2015 to 2018, focusing on compliance and regulatory matters.
Experience at WilmerHale
Prior to his tenure at the U.S. Securities and Exchange Commission, Samuel Thomas worked as a Project Assistant in the Securities Litigation and Enforcement practice at WilmerHale. He held this position from 2007 to 2010, where he supported legal teams in various securities-related litigation and enforcement actions.
Education and Legal Training
Samuel Thomas earned his Doctor of Law (JD) degree from The Catholic University of America, Columbus School of Law, where he studied Banking, Corporate, Finance, and Securities Law from 2010 to 2013. He also holds a Bachelor of Arts (B.A.) in European History from Bates College, which he completed from 2003 to 2007.
Experience at Other Regulatory Bodies
In addition to his roles at the U.S. Securities and Exchange Commission, Samuel Thomas has worked at the U.S. Commodity Futures Trading Commission as a Legal Intern in Enforcement for three months in 2012. He also served as an Analyst in Market Manipulation Investigations at the Financial Industry Regulatory Authority (FINRA) from 2013 to 2015.