tfleming@jonesbell.com
The Figueroa at Wilshire Building
601 South Figueroa Street
Twenty-Seventh Floor
Los Angeles, California 90017
(213) 485-1555
mapG. THOMAS FLEMING III
Partner
Mr. Fleming focuses his practice on business law, securities broker-dealer and investment adviser litigation, arbitration, and regulatory matters. He has represented a wide variety of national and local financial institutions, including Wells Fargo Advisers, LLC, Pacific Life, Morgan Stanley, Wedbush Morgan Securities, Wachovia Securities, TD Ameritrade (and its predecessor, Datek Online Brokerage Services), Mutual Service Corporation, Associated Securities Corp., and many others.
Mr. Fleming is a panel arbitrator for the Financial Industry Regulatory Authority (FINRA) and the National Futures Association, and has served as a judge pro tem for the Los Angeles Superior Court. He also has held a California real estate broker's license.
He also served for many years as general counsel to the California Association of Independent Broker-Dealers, and the National Association of Independent Broker-Dealers.
Mr. Fleming has received a "5.0/5.0 AV®" rating from Martindale Hubble, their preeminent rating for competence and ethics in the practice of law.
Mr. Fleming graduated cum laude from the University of Southern California, where he earned a B.A. in 1973. Mr. Fleming earned his J.D. from the University of California, Hastings College of Law in 1976.
Published Cases:
- Mr. Fleming's reported decisions include Reed v. Mutual Service Corp., 106 Cal. App. 4th 1359 (2003), and Titan/Value Equities Group v. Superior Court, 29 Cal. App. 4th 482 (1994), both of which helped shape California law regarding the scope of the powers of courts and arbitrators in securities arbitration.
- Business Law and Litigation
- Investment Advisor and Securities
Broker-Dealer Litigation,
Arbitration, and Regulatory Matters - Real Estate Brokerage
- University of California,
Hastings College of Law
(J.D., 1976) - University of Southern California
(B.A., 1973)
- United States Supreme Court
(1981-present) - California State Bar
(1976-present)
- 9th Circuit Court of Appeals
- U.S. District Court for the
Central District of California - U.S. District Court for the
Southern District of California - U.S. District Court for the
Eastern District of California - U.S. District Court for the
District of Colorado