Investment Advisory Defense
New Hampshire, 2022
Vanderbilt University, JD
Ohio State University, BSBA
Thomas Barnett is one of TT & E's partners and manages our Boston office. After serving a one-year clerkship for the Tennessee Court of Appeals, Tom started in private practice as an associate in commercial litigation and then briefly worked in government as counsel for the United States Department of Agriculture.
Tom has worked in the securities industry for the last fourteen years, first as in-house counsel for Raymond James | Morgan Keegan (formerly Morgan Keegan & Co. ), a large regional broker-dealer located in Memphis, Tennessee and more recently as an in-house attorney for LPL Financial LLC, the nation's largest independent broker-dealer, in Boston, Massachusetts. In those two roles, Tom primarily handled FINRA arbitrations and other litigation matters.
Tom grew up in a small town just outside of Cincinnati, Ohio but now resides in Exeter, New Hampshire. He lives with his wife and two children.
Godown v. LPL Financial LLC, 19-03803 – FINRA arbitration that resulted in voluntary dismissal and expungement.
Barrett v. LPL Financial LLC, 15-01635 – FINRA arbitration that resulted in zero award after two week hearing.
Trainor Trucking v. LPL Financial LLC, 13-00888 – FINRA arbitration that resulted in zero award and expungement.
Wasserman v. LPL Financial LLC, 12-04167 – FINRA arbitration that resulted in zero award and expungement.
King v. Morgan Keegan & Co., 12-00302 – FINRA arbitration that was dismissed on pre-hearing motion.
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