Thomas E. Geyer
p: (614) 229-3206
f: (614) 221-0479

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Practice Areas

Thomas E. Geyer, Of Counsel

Tom serves as coverage and claims monitoring counsel for directors and officers liability insurers, overseeing securities class action, derivative, and ERISA litigation against insureds. He also practices in the areas of corporate and securities law, including advising clients regarding securities offerings, securities enforcement matters, and regulatory compliance. Tom represents clients in securities litigation and administrative proceedings, and serves as an expert witness on securities law topics. Tom is a former Commissioner of the Ohio Division of Securities and a former Assistant Director of the Ohio Department of Commerce. He is the author of the book Ohio Investment Adviser Manual (LexisNexis) and several law review articles regarding securities law.

Articles/Publications

• Ohio Investment Adviser Manual (LexisNexis 2002)
• "State Law Issues Relevant to SEC-Registered Advisers," in Kirsch's Investment Adviser Regulation (PLI 2nd ed. 2007)
• "Civil Liability and Remedies in Ohio Securities Transactions," 70 U. Cin. L. Rev. 939 (2002) (with Michael Miglets and Keith Rowley)
• "An Overview of Am. Sub. H.B. 695's Amendments to the Ohio Securities Act and a Guide to Ohio's New Investment Adviser Provisions," 28 Cap. U. L. Rev. 359 (2000)
• "The Vitality of the Ohio Laws Designed to Encourage Negotiated Takeovers," 23 U. Day. L. Rev. 515 (1998)
• "Viewing the Columbus Skyline: Incorporating Federal Law into the Anti-Fraud Standard of the Ohio Securities Act," 28 U. Tol. L. Rev. 301 (1997)
• Client Alert: Supreme Court to Consider Loss Causation
• Client Alert: SEC's Dim View of Indemnification Darkens
• A Summary of Ohio House Bill 7 (The 2003 Ohio Corporate-Securities Reform Act)
• An Overview of Ohio Investment Adviser Law (view article)
• An Overview of Ohio's Takeover Laws (view article)
• Basics of Ohio Securities Law (view article)
• Common State Law Issues Facing SEC-Registered Investment Advisers (view article)
• "Covered Securities" Under the Ohio Securities Act
• Custody of Client Funds and Securities by Ohio Investment Advisers (view article)
• Financial Advising by Attorneys (view article)
• Insider Trading: Evolution, Prevailing Theories and Recent Developments
• Liabilities and Remedies for Securities Violations Under Ohio Law (view article)
• The Investment Adviser Compliance Program: A to Z (view article)

Noteworthy Matters

• Serve as insurers' coverage and monitoring counsel for subprime-based claims.
• Serve as insurers' coverage and monitoring counsel for stock option backdating-based claims.
• Represent clients before the Ohio Division of Securities in connection with securities registration and exemption filings, enforcement matters, licensing issues, control bid (takeover) filings, and administrative proceedings.
• Served as Special Counsel for Ohio Bureau of Workers' Compensation in complex securities litigation.
• Participated in drafting, advocacy, and implementation of numerous legislative initiatives, including the Ohio Corporate Reform/Sarbanes-Oxley Act of 2003 (H.B. 7), the Ohio Investment Adviser Act of 1999 (H.B. 695), and federal Gramm-Leach-Bliley Act of 1999 (Pub. L. No. 106-102).
• Presented testimony to the United States Congress and the Ohio General Assembly.
• Assistant Director, Ohio Department of Commerce, 2000-2004
• Commissioner, Ohio Division of Securities, 1996-2000
• Adjunct Professor (Securities Regulation), Capital University Law School, 1998-2003
• Frequent speaker on securities law topics

Memberships and Community Involvement

• Professional Liability Underwriting Society
• Ohio State Bar Association (Corporation Law Committee)
• Ohio Division of Securities Takeover Advisory Committee
• Columbus Bar Association
• Dublin Youth Athletics
• St. Brendon School
• Concord Counseling Services (Board of Directors)

Honors and Awards

• The Ohio State University College of Law Distinguished Recent Alumnus Award
• North American Securities Administrators Association Outstanding Service Award
• Columbus Business First Newspaper Forty Under 40