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About Tom

Thomas A. Capezza practices in the areas of White Collar Litigation and Investigations, Technology, Cyber and eDiscovery, Corporate Governance and Investigations, and Law Enforcement.  Tom has nearly 20 years of criminal and civil investigatory and litigation experience, including eight years as an Assistant U.S. Attorney with the Criminal Division of the U.S. Attorney’s Office, Northern District of New York (Albany); three years as an Assistant U.S. Attorney with the Civil Division of the U.S. Attorney’s Office, Eastern District of Michigan (Detroit); three years as Enforcement Counsel with the U.S. Securities and Exchange Commission (NYC); and four years as an Assistant District Attorney with the Suffolk County District Attorney’s Office.

Tom has broad experience with the investigation and litigation of matters involving financial and securities fraud, health care fraud, pharmaceutical and FDA violations, cross-border crimes and violations of numerous other federal and state laws.

As the General Counsel to the New York State Police, Tom also acquired extensive legislative, policymaking, litigation and investigatory experience.  During his tenure with the Division of the New York State Police, Tom managed the formulation of proposed legislation, evaluated and implemented policy and legislative initiatives, managed civil litigation involving the State Police or its members, oversaw internal regulatory and compliance matters, and provided legal and ethical guidance to the Superintendent of the State Police and more than 4,500 sworn police officers.

Additionally, Tom brings to all his clients the attention to detail acquired from his substantial computer science and technology experience.  This experience includes designing remediation database systems for Superfund sites for the U.S. Environmental Protection Agency, and designing computer systems for the financial services industry.

Why Tom

Other attorneys will tout their experience, but Tom possesses the experience and institutional knowledge clients need.  He has served in various levels of Federal and State government, in both criminal and civil capacities, and is composed, detail-oriented, attentive, and responsive.  Tom gains and retains his clients’ confidence because his approach is fully focused on preserving what is important – their reputation, livelihood, finances, and, when circumstances require, liberty.

Qualifications

Affiliations

  • Federal Bar Council
  • American Bar Association (ABA), Committees on White Collar Crime, Federal Regulation of Securities, and Cyberspace Law
  • New York State Bar Association (NYSBA)
  • Northern District of New York Federal Court Bar Association (NDNY FCBA)
  • International Association of Privacy Professionals (IAPP)
  • International Association of Chiefs of Police (IACP)
  • Federal Law Enforcement Association (FLEOA)

Recognition

  • Distinguished Service Award, U.S. Department of Justice, Asset Forfeiture Program (2011)
  • The Eagle Award, National Crime Victims’ Rights, U.S. Department of Justice (2008)

Noteworthy

White Collar Litigation & Investigations

  • Vast involvement working on matters involving federal civil violations of the Securities Act of 1933, Securities Exchange Act of 1934, and the Investment Advisers Act of 1940, including depositions and testimony of chief executive officers and investment fund managers.
  • Successful trial involving the chief executive officer of a financial services institution and the chief financial officer of a publically traded consolidator in environmental remediation, related to bank fraud in connection with a $1.6 million Small Business Administration loan and a subsequent “pump and dump” stock scheme.
  • Successful trial involving an investment adviser accused of federal civil securities fraud in connection with a $19.5 million Ponzi scheme involving unregistered promissory notes.
  • Successful trial involving a three-defendant international wire fraud and money laundering “advance-fee” scheme related to the purported financing of real estate construction projects worth$1.6 million in fraud proceeds being laundered through Latvia and foreign and domestic “shell” corporations. This trial involved the successful obtainment of foreign documentary evidence using Mutual Legal Assistance Treaty (“MLAT”).
  • Investigations related to violations of the Food, Drug and Cosmetic Act, including a case involving a pharmaceutical company and company president accused of fraud in connection with a misbranded non-FDA approved drug in violation of Food, Drug and Cosmetic Act, and forfeiture of $1.7 million in gross profits.
  • Criminal investigation of a pharmaceutical company regarding the off-label sale of a local anesthetic for uses not approved as safe by the Food and Drug Administration, including the coordination of a parallel civil investigation by U.S. Attorney’s Office and a separate Qui Tam/Relator matters.
  • Investigations and trials related to Medicare and Medicaid fraud, including a case involving a health care medical equipment provider accused of Medicare and Medicaid fraud in connection with fraudulent sales.

Corporate Governance and Investigations

  • Participation in numerous investigations of financial, health care and pharmaceutical institutions, including internal and external investigations as prosecutor and regulatory enforcement attorney.
  • Co-investigated a crimal case involving a supermarket chain wherein two executives were accused of securities fraud involving a scheme to artificially enhance the company’s financial appearance by recognizing income, i.e., “pulling forward”, in a manner that was inconsistent with Generally Accepted Accounting Principles. Case coordinated with parallel S.E.C. enforcement case.
  • Served as the Asset Forfeiture and Money Laundering coordinator and provided guidance and policy to the United States Attorney’s Office.

Technology, Cyber and eDiscovery

  • Successful co-location of a government intelligence center with a not-for-profit, which resulted in a state, federal and private information-sharing partnership concerning cyber threat intelligence and security issues. The project entailed operational and security issues, procurement and funding issues, and unique construction issues relative to state and federal security protocols
  • Creation and implemental of e-Discovery protocols related to discovery obligations in litigation and the technical availability of archived data stored on a historical tape system.

Law Enforcement

  • Successful representation of a police department involvinh neogtiations with the United States Department of Justice resulting in full dissolution of a thirty-five year Title VII Civil Rights Consent Decree.
  • Investigation of a local police department involving allegations that executive officers subverted a United States Department of Justice Department Title VII Civil Rights Consent Decree when they compromised a police officer entrance exam.

Representative Cases

  • United States v. David Norris, 08 CR 343 (USDC NDNY)
  • United States v. Ronald Persaud, et al, 05 CR 368 (USDC NDNY)
  • United States v. Medisca, Inc., 11 CR 476 (USDC NDNY)
  • United States v. Hussein Amr, CR 03-2131 (USDC Eastern District of Michigan)
  • Securities and Exchange Commission v. Henry Benjamin Schmidt, C-1-97-599 (USDC Southern District of Ohio)
  • United States v. John Napoli, 95 CR 993 (USDC EDNY)
  • United States v. State of New York, et al., 77 CV 343 (USDC NDNY)

Education

  • J.D., Fordham Law School (1993)
  • B.S., Pace University, Computer Science, magna cum laude (1987)

Admissions

  • State of New York (1994)
  • U.S. District Court, Northern District of New York
  • U.S. District Court, Southern District of New York
  • U.S. District Court, Eastern District of New York
  • U.S. District Court, Eastern District of Michigan
  • U.S. Court of Appeals for the Second Circuit

Advocacy & Involvement

Community & Civic

  • Adoptive Families of the Capital Region (AFCR)
  • Augustine Classical Academy, Attorney Advisor

Leadership

Speaking

  • Speaker: “NYSDFS Rules on Cybersecurity Requirements for Financial Services Companies,” American Bar Association Business Law Spring Meeting, Cyberspace Law Committee, Orlando, FL (2018)
  • Speaker: “Remedies and Damages in Commercial Litigation“, Federal Court Bar Association, Northern District of New York, Albany, NY (2017)
  • Speaker: “Ethics in Action“, Federation of Bar Associations, Lake Placid, NY (2017)
  • Speaker: “Federal Cross-Border Crimes, Forfeiture and Evolving Forfeiture Policy“, Federation of Bar Associations, Lake Placid, NY (2016)

Publications

  • Author: “New York State Rules Reaches Beyond the State’s Borders in Requiring Corporate Boards to Implement Cybersecurity Protections“, American Bar Association, The Business Lawyer, Vol. 73 (Winter 2017-18)
  • Author: “The Langham Act and the Food, Drug, and Cosmetic Act: When Private Pharmaceutical Litigation Compliments FDA Regulatory Enforcement”, American Bar Association White-Collar Crime Newsletter (Winter 2017)
  • Author: “Attention Banks, Insurance Companies and Other Financial Services Institutions: Be Prepared for New Cybersecurity Rules“, Carter Conboy Client Advisory (2016)
  • Author: “Federal Focus to Elevate on Aggressive Affirmative Civil Enforcement“, Carter Conboy Client Advisory (2016)
  • Author: “Civil Forfeitures and the Double Jeopardy Clause: The Question of Multiple Punishments”, 11 J. Suff. ACAD. L 55 (1996)