Tom Rogers
About Tom Rogers
Tom Rogers serves as Senior Counsel in the Division of Enforcement at the U.S. Securities and Exchange Commission, a position he has held since 2005. He holds a J.D. from The Catholic University of America and has previous experience in business development and as a registered representative.
Work at U.S. Securities and Exchange Commission
Tom Rogers has served as Senior Counsel in the Division of Enforcement at the U.S. Securities and Exchange Commission (SEC) since 2005. In this role, he is responsible for overseeing legal matters related to the enforcement of securities laws. His extensive experience at the SEC spans nearly two decades, during which he has contributed to various initiatives aimed at maintaining market integrity and protecting investors.
Education and Expertise
Tom Rogers earned his Juris Doctor (J.D.) degree from The Catholic University of America, Columbus School of Law, where he focused on Securities and Corporate Law from 2001 to 2005. Prior to this, he completed his Bachelor of Arts in International Relations at American University and also obtained a Bachelor of Arts from St. Xavier High School, both from 1983 to 1987. His educational background provides a strong foundation for his work in securities law and enforcement.
Previous Work Experience
Before joining the SEC, Tom Rogers held positions in the financial services industry. He worked as a Registered Representative at Charles Schwab & Co. from 1994 to 1999, where he gained experience in client relations and investment services. Following this role, he served as Business Development Manager at Telemet America, Inc. from 1999 to 2000, focusing on business growth strategies in Alexandria, Virginia.
Professional Background
Tom Rogers has built a career that combines legal expertise with practical experience in the financial sector. His roles prior to the SEC provided him with insights into the operational aspects of financial services, which he now applies in his enforcement work. His background in both law and business development enhances his ability to navigate complex regulatory challenges.