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 Morgan Stanley, Wedbush Morgan Securities, Wachovia Securities, TD Ameritrade, Mutual Service Corporation, Associated Securities Corp., and many others.
Mr. Fleming is a panel arbitrator for the Financial Industry Regulatory Authority (FINRA) 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.
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.
Mr. Fleming has also served for many years as general counsel to the National Association of Independent Broker-Dealers (NAIBD).
- Business Law and Litigation
- 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)
- California