• A bright junior with a particular taste for large-scale, complex cases; Tom Broomfield is a reassuring addition to any team.

    Corporate and Financial Crime

    Tom Broomfield’s practice is centred on financial crime.  He prosecutes and defends as a sole and led junior in all levels of financial crime.  He has experience of cases from the investigation stage through to appeal.  He is a diligent and determined barrister, well suited to working with voluminous and complex material and in large teams.  His knowledge of disclosure is unrivalled.

    Crime

    Tom Broomfield is a highly regarded criminal advocate, prosecuting and defending all varieties and levels of crime both as sole and led junior.  He is a favourite with clients who need calm yet commanding guidance.  He has experience of all stages, from pre-charge through to appellate work.

    Regulatory 

    Tom Broomfield is experienced in a spectrum of tribunals within the regulatory sphere.  He has experience of representing both regulators and individual professionals from the financial, legal and healthcare professions.  He provides advice and representation on a host of areas within the field and has experience of numerous types of hearing.

    Reviews

    Legal 500 2018: Business and Regulatory Crime (Including Global investigations) - Tier 3

    Professional Memberships

    • Criminal Bar Association
    • Fraud Lawyers Association
    • South Eastern Circuit

    Education

    • 2006 – 2007 BPP Law School, London Bar Vocational School (Very Competent)
    • 2005 – 2006 City University, London Graduate Diploma in Law (Pass with Merit)
    • 2004 – 2005 University of Bristol MA in Contemporary History (Distinction)
    • 2002 – 2003 University of Bristol BA Historical Studies (First)

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  • Corporate and Financial Crime

    A long-time favourite of the financial crime prosecuting agencies, Tom Broomfield is well versed in corporate and financial crime and all of the technical issues and arguments that accompany it.

    Overview

    Tom Broomfield’s practice is centred on financial crime.  He prosecutes and defends as a sole and led junior in all levels of financial crime.  He has experience of cases from the investigation stage through to appeal.  He is a diligent and determined barrister, well suited to working with voluminous and complex material and in large teams.  His knowledge of disclosure is unrivalled.

    Experience

    Tom is regularly instructed to prosecute and defend in large and complex corporate and financial crime cases including insider dealing, fraud and money laundering. He is frequently instructed by the FCA to prosecute criminal insider dealing offences, advising in such cases from an early stage of the investigation to conclusion. He has appeared in some of the highest profile criminal prosecutions brought by the FCA, including R v Dodgson and others and R v Lyttleton. Tom also advises clients on issues arising from criminal and regulatory investigations brought by the FCA, SFO and CPS.  He recently assisted with the defence of a leading financial services company who was under investigation by the regulatory arm of the FCA.  He has also recently been involved with the defence of a company privy to the SFO investigation into ENRC.

    Tom has vast experience of document reviews.  He has both led and been a member of specialised teams from chambers.  He has dealt with disclosure and LPP involving multi-national corporates.  He has advanced knowledge of the rules of disclosure.

    Tom has particular expertise in criminal aspects of copyright and trademark law and has prosecuted in cases ranging from large-scale conspiracies to defraud to supplying counterfeit goods and breaches of consumer protection law.   He has lectured on trading standards law at conferences and seminars across the UK and advises on charge and sufficiency of evidence at an early stage of proceedings. 

    Tom has a detailed knowledge of issues arising from corporate liability and the prosecution of strict or near strict liability offences, which makes him ideally placed to advise individuals or companies facing criminal proceedings in a regulatory context.

    Tom has developed a keen interest and expertise of the Criminal Finances Act 2017 and specifically the new corporate criminal offences of failing to prevent the facilitation of tax evasion, which came into force at the end of September. He has written and lectured extensively on the subject, including at seminars to top tier international law firms.

    Notable Cases

    FCA v Abdel-Malek and Choucair (2016 - the present)
    Instructed as junior for the Financial Conduct Authority in an insider dealing prosecution listed for trial in October 2018.
    Click here for press coverage.

    FCA v Lyttleton (2014 - 2016) 
    Instructed as junior for the Financial Conduct Authority in an insider dealing prosecution of a former fund manager at BlackRock. My Lyttleton used a complex off shore financial structure to hide his dealing in stocks based on inside information gleaned through his employment. Instructed in 2014 at an early stage of the investigation to the conclusion of the case.
    Click here for press coverage.  

    FCA v Dodgson and Ors (2012 – 2016)
    Instructed as disclosure counsel for the Financial Conduct Authority in Operation Tabernula, the largest insider-dealing investigation ever brought by the FCA. Managed a team of approximately 15 paralegals and junior counsel in a disclosure review exercise encompassing over ten terabytes of material and spanning four years. Part of the counsel team at court for the duration of the trial.
    Click here for press coverage. 

    SFO investigation (2014 – 2016)
    Instructed as second junior in the investigation into fraudulent trading on the foreign exchange market. The case involved extensive cooperation with the FCA, CMA, DoJ and the Australian Securities and Investments Commission as well as banks (and their advisers) that had been subject to internal and regulatory investigations. Involved on a day-to-day basis overseeing the review of over half a million documents. Provided piecemeal advice on specific aspects of the investigation and contributed to the final advice on sufficiency of evidence.

    R v Ryjenko and Sanderson (2015)
    Instructed by the European Bank for Reconstruction and Development in a corruption case involving a former employee.

    Reviews

    Legal 500 2018: Business and Regulatory Crime (Including Global investigations) - Tier 3

    Recent Cases

    • On Thursday 27th June, former UBS compliance officer, Fabiana Abdel-Malek, and trader Walid Choucair, were both sentenced to three years for insider trading after a trial lasting eight weeks.Tom was junior counsel for the FCA, and was led by Sarah Clarke ...

    • Instructed as junior for the Financial Conduct Authority in a large and complex insider dealing investigation currently pre-charge.

    • Zoe Johnson QC and Tom Broomfield represented the Financial Conduct Authority in the prosecution of a former “star” fund manager at BlackRock.

    News

    • Sean Larkin QC and Tom Broomfield appear in ex-UBS compliance officer insider trading matter

      Fabiana Abdel-Malek, ex-UBS compliance officer, charged with five counts of insider trading.

    • QEB News: Ex Black Rock portfolio manager imprisoned.

      Following his guilty plea in November to two counts of insider trading, Mark Lyttleton was sentenced to 12 months' imprisonment.

    • QEB Hollis Whiteman members involved in Operation Tabernula trial

      Three members of QEB Hollis Whiteman were directly involved in what was called the most high-profile trial of insider dealing prosecuted by the Financial Conduct Authority (FCA) to date.

    Articles

  • An accomplished criminal advocate, Tom Broomfield instils confidence in all he works with; he has knowledge and experience beyond his call and an easy client-manner.

    Overview

    Tom Broomfield is a highly regarded criminal advocate, prosecuting and defending all varieties and levels of crime both as sole and led junior.  He is a favourite with clients who need calm yet commanding guidance.  He has experience of all stages, from pre-charge through to appellate work.

    Experience

    Tom has experience of all levels of crime, at all stages of the process and in all tiers of the English legal system.  As a pupil he worked as part of the defence team in Levi Bellfield and has continued through his practice as a tenant to impress solicitors and clients with his calm and assured manner and persuasive advocacy. 

    Tom regularly appears for the prosecution and defence in large-scale, multi-handed drugs and money-laundering cases. He is particularly familiar with the types of evidence that such cases regularly involve. He is able, for example, to provide insightful analysis of extensive telephone billing data and cell site evidence and is particularly skilled at distilling large amounts of data into a comprehensible and digestible format. Tom also has considerable experience and knowledge of disclosure, including all aspects of public interest immunity applications, having led substantial disclosure exercises for the FCA and the SFO.

    Tom has particular expertise in cases of serious violence from murder to cases of wounding and causing grievous bodily harm with intent. Tom has recently undergone training in vulnerable witness handling and has significant experience representing clients with a wide range of mental health difficulties. 

    He is a level three CPS panel advocate and is regularly instructed by the CPS Special Casework Unit to prosecute in matters of particular gravity. He is also on the SFO’s B Panel of approved advocates. 

    Tom regularly represents individuals charged with road traffic offences and has particular experience advising professionals in this area. He recently, for example, represented a solicitor charged with driving without due care and attention, and failing to stop at the scene of an accident.    

    Notable Cases

    R v Thompson-Hill (2018) 
    Instructed as junior counsel for the first defendant in a murder with a shot gun, described as a "cold blooded execution".

    R v Thomas and others (2018) 
    Instructed as junior counsel for the prosecution in a five handed conspiracy spanning six months to supply crack cocaine and heroin. The defendants were alleged to have been operating a county line between Hackney and Milton Keynes.

    R v Hodson (2018) 
    Instructed to defend a man alleged to have bottled the complainant causing loss of sight in one eye. The defendant was acquitted after trial of section 18 and convicted of the less serious alternative count of section 20.

    R v Ramirez-Cortes (2018) 
    Instructed to defend a man alleged to have stabbed the complainant in the face. The defendant was acquitted after trial.

    R v E (2016)
    Appeared as sole junior counsel in successful defence of a youth accused of wounding with intent.

    R v Williamson and Ors (2015)
    Defended in multi-handed conspiracy to supply cocaine and heroin.

    R v Claxton (2015)
    Successfully defended a woman accused of stabbing her former partner in the back.

    Ace Waste Haulage (2015)
    Defended a company in a case that resulted in a guilty plea to fly-tipping on an industrial scale.

    R v Tiehoule (2014)
    Represented defendant who was acquitted after trial of possessing a firearm with intent to endanger life.

    Reviews

    Legal 500 2018: Business and Regulatory Crime (Including Global investigations) - Tier 3

  • An intelligent, focused and efficient junior barrister who brings his ability to master and deliver a case quickly and effectively, to the area of professional regulation.

    Overview

    Tom Broomfield is experienced in a spectrum of tribunals within the regulatory sphere.  He has experience of representing both regulators and individual professionals from the financial, legal and healthcare professions.  He provides advice and representation on a host of areas within the field and has experience of numerous types of hearing.

    Experience

    Tom began his regulatory practice presenting at healthcare tribunals, he has since established a successful defence practice. He has represented registrants in misconduct hearings before the Nursing and Midwifery Council’s Conduct and Competence Committee and defended applications by the NMC for an interim suspension order.  He has represented applicants at the Health and Care Professions Council, recently he represented an applicant before the Health and Care Professions Council at a substantive order review hearing. The panel revoked a suspension order allowing the applicant to regain employment as a social worker.  Tom has experience of working in cases involving the Bar Standards Board, the Security Industry Authority and the General Dental Council.

    Most recently Tom has worked with the regulators’ regulator, the Professional Standards Authority, reviewing, assessing and advising on decisions made by other regulators.

    Tom’s vast experience of financial crime has ideally placed him to deal with financial regulation.  He has been a part of a team advising a former employee of a leading international financial services company being investigated by the regulatory department of the FCA. Tom has a detailed knowledge of issues arising from corporate liability and the prosecution of strict or near strict liability offences, which makes him ideally placed to advise individuals or companies facing criminal proceedings in a regulatory context.

    Reviews

    Legal 500 2018: Business and Regulatory Crime (Including Global investigations) - Tier 3

    Articles