Thomas Ogg

Tom Ogg

Professional Summary

Called 2012

Contact Details

E T +44 (0)20 7632 8500 Clerk Lee Cutler Clerk Tori Eastwick E

Tom is a leading junior with a wide-ranging practice.

His employment work encompasses all areas of statutory and commercial employment law, with a particular focus on cases with a regulatory angle.

Tom is a regulatory / professional discipline specialist, and is well-known for his work in financial services.  Chambers & Partners recognise Tom “for his considerable expertise in matters at the intersection of financial services regulation and employment law.”  

He also has significant experience in specific areas of public law, equality law, data protection / information law, and investigation/inquiry work.

 

 

Specialisms

Commercial

Tom acts in the full-range of commercial disputes arising out of employment, partnership and LLP arrangements. He is frequently involved in cases in the High Court concerning the protection of confidential information, post-termination restraints, team moves / poaching, wrongful termination/expulsion, economic torts, diversion of opportunities by fiduciaries, and allegations of conspiracy or inducement.

Tom’s recent cases include:

–  Tom was instructed for Citadel in the High Court claim Citadel Securities v GSA Capital (press link), in which Citadel sought damages for more than $40m for misuse of confidential information and inducement of breach of contract. Tom acted for the Claimant company, led by Amy Rogers and David Craig QC.

– A team-move case in the technology sector in which up to 20 employees were unlawfully poached and confidential information taken to allegedly aid a start-up competitor, in breach of non-compete and non-poach restrictive covenants. Tom acted for the Claimant company and was led by Gavin Mansfield QC.

– Tom acted for the claimant company in a hard-fought LCIA arbitral claim concerning the employee’s alleged disclosure of confidential information to a rival, which followed the High Court issuing an injunction against the employee in support of the arbitral proceedings.

– A team move case in the insurance broking industry in which six employees simultaneously resigned and moved to a rival broker.

– Tom acted as sole counsel for the Claimant in Your Golf Travel Limited v Lewis Remington, a bitterly contested claim against a former employee for misuse of confidential information (namely client email addresses), which included an award of indemnity costs against the defendants.

– Re Y (Singapore). Acting for the defendants in proceedings relating to allegations of an unlawful means conspiracy, breach of restrictive covenants and fiduciary duties in proceedings issued in Singapore.

– Tom has advised on the liabilities and property of partners in both LLPs and general partnerships.

Employment

Tom advises and acts in the full range of Employment Tribunal, County Court and High Court proceedings. He regularly appears in multi-day trials in the Employment Tribunal, particularly in relation to whistleblowing and discrimination matters.

Tom acts for clients in all industries, but he is particularly sought-after for financial services cases account of his expertise in both financial regulation and employment law, on which Tom frequently advises in tandem. Tom is the co-editor of Conduct and Pay in the Financial Services Industry: the Regulation of Individuals (link), with Richard Leiper QC.

Examples of Tom’s work include:

Bradley Jones v JP Morgan (link), for which Financial Times headline was “Ex-JPMorgan trader wins unfair dismissal case over alleged spoofing… Tribunal rules that Bradley Jones did not deserve to be fired and bank acted ‘to appease its regulators’”.

Paul Stephany v Newton Investment Management Limited. An unfair dismissal claim in the context of FCA individual disciplinary and the FCA’s first Competition Act 1998 proceedings against a firm (link).

– Tom acted for a magic circle firm in a claim brought against a leading bank for sex discrimination brought by a man. The case settled prior to trial.

– Tom acted for a leading energy industry company in a complex whistleblowing claim, in which serious health & safety breaches were alleged.

– Tom acted for a leading private equity firm in a whistleblowing claim brought against it, led by Richard Leiper QC, which settled prior to trial.

– Tom acted against a FTSE 100 company in a health & safety whistleblowing claim, including at an interim relief hearing.

Wallace v Apple Europe Ltd. Acted successfully for Apple in this unfair redundancy claim (link).

Mills v East Sussex Healthcare NHS Trust. An unfair dismissal case in which the claimant successfully secured re-instatement (link) notwithstanding an outstanding safeguarding investigation.

Re B. Advised a senior broker on a potential constructive unfair dismissal whistleblowing claim, and associated issues relating to deferred remuneration.

Johnson v Lloyds Bank plc. Acted successfully for Lloyds in this disability discrimination, reasonable adjustments and unfair dismissal claim.

Details of Tom’s commercial employment law work are set out in the ‘commercial’ section above.

Tom also accepts instructions to undertake investigations and inquiries, either as sole investigator or as part of a team of professionals. Tom’s recent investigations include:

• investigating an alleged child protection matter for a well-known boarding school;

• investigating allegations that a director was bullying and undermining staff, for an employer in the leisure industry;

• investigating allegations that a school chaplain had spoken inappropriately to young women in his care; and,

• acting for a quasi-public body in relation to allegations that its CEO and a senior member of staff had failed to disclose and address a serious conflict of interest.

• In early 2015, Tom completed a long-running inquiry as sole investigator into accounting issues relating to the payment of injury awards at Buckinghamshire and Milton Keynes Fire Authority. His interim report is available here. Tom was required to assess the scale of the financial problem; identify opportunities to discover the accounting failure; detail the factual circumstances in which the error came about; and to make recommendations.

• Tom has led four separate investigations for a leading professional regulatory body into allegations of misconduct by its members.

Tom also has experience of investigations and proceedings arising from investigations relating to the Financial Conduct Authority.

Professional Discipline and Regulatory Law

Tom acts in a range of industries for individuals and regulators in both professional discipline and general regulatory matters.  He has particular experience in the financial services industry.

Financial Services

Tom acts for and against the Financial Conduct Authority and Prudential Regulation Authority in a range of matters.

Tom is the co-editor of Conduct and Pay in the Financial Services Industry: the Regulation of Individuals (link), with Richard Leiper QC.

In the legal year 2013/14, Tom was seconded to the FCA, during which he sat in the Enforcement Division’s Legal Group and in the General Counsel Division.  Whilst on secondment, Tom drafted submissions to the Regulatory Decisions Committee (RDC) and appeared at the FCA’s Regulatory Transactions Committee (RTC).  In GCD, Tom drafted sections of the FCA Handbook.

Examples of Tom’s recent financial regulatory work includes:

– Tom’s acted for Paul Stephany (Final Notice) in the disciplinary proceedings brought against him by the FCA. Mr Stephany’s case was the first individual disciplinary case to arise from the FCA’s new competition jurisdiction, and the first case to address the conduct of the buy-side in IPOs.  Tom also represented Mr Stephany in his Employment Tribunal proceedings.

– Tom acted for a CEO and finance director a firm accused of breaches of the market abuse regime and the listing rules.

– Tom also secured a discontinuance of proceedings in an individual approvals context, following Enforcement’s consideration of Tom’s written submissions for an RDC hearing, following which the individual was approved.

– Tom acted pro bono for VIP Wealth Ltd at the RDC in their unsuccessful application for Part 4A permission, the final notice in relation to which is here.

– Tom has worked on LIBOR cases and disciplinary proceedings brought against senior individuals, both in private practice and whilst seconded to the FCA.

– He assisted the FCA disciplinary proceedings against the directors of Swinton Group Limited (Peter Halpin, Nicholas Bowyer and Anthony Clare).

Tom is frequently asked to advise and assist in the following areas:

Misconduct, approvals and regulatory investigations: Tom provides strategic advice in relation to both potential and actual regulatory investigations. He is often asked to opine on what a regulator’s view might be of particular misconduct, and whether any person has acted in breach of regulatory rules or guidance.  That advice is often asked for in relation to current or future applications for approval, regulatory references, or employment matters (particularly an exit).

Regulatory references: Tom regularly advises individuals and institutions in both litigation and policy development in this important area. Tom has represented a financial services firm in County Court proceedings relating to an allegedly negligent reference, in proceedings which settled.  He has also successfully represented a number of financial services professionals in Employment Tribunal proceedings, where the purpose of the proceedings was to correct an unfair reference.

Regulatory perimeter, unauthorised business, and compliance: Tom is often asked to advise on whether a particular set of arrangements fall within the regulatory perimeter and if so to advise on regulatory compliance. Tom worked on a wide range of unauthorised business cases whilst seconded to the FCA’s Enforcement Division, and has been instructed by the FCA in relation to injunctions, restitution, limitation and perimeter issues in private practice.

The Senior Managers and Certification Regimes: Tom is often asked to assist with issues arising in relation to the regulatory regime for individuals, the SMCR. His recent work includes advising senior managers on the SMCR (including in relation to their contracts of employment), and training lawyers on the requirements of the SMCR.

Remuneration: Tom is often asked to assist on remuneration issues from both a regulatory and common law standpoint, including the drafting of remuneration policies.

Financial Ombudsman Service: Tom has represented the FCA in a judicial review of the FOS, and has advised in private practice on FOS determinations.

Tom has also worked on matters relating to financial promotions; supervisory powers such as OIREQs, OIVOPs, information requirements and skilled persons reports; the protected items regime; the FCA’s powers under FSMA; the public and private-law implications of FCA decisions; international co-operation matters; mutuals; authorisations; the Equality Act 2010 duties in financial services; and changes of control.

Legal

Tom appears in the Solicitors Disciplinary Tribunal and has advised both the Solicitors Regulation Authority and individuals.  Tom represented the Solicitors Regulation Authority in Fessahaye v SRA (link), and has acted for the SRA in a number of other appeals.

Tom acts for the Bar Standard Board in cases brought against members of the Bar.

Information Law

Tom acts for and against the Information Commissioner in enforcement proceedings and other data protection-related matters.

Education

Tom has advised on matters including disciplinary proceedings against by Ofqual against recognised bodies, National College of Teaching and Leadership proceedings against teachers, and a variety of matters relating to the governance of academies and local authority maintained schools.

Accountancy

Tom has acted in a range of cases concerning questions of compliance with accountancy standards, including the International Financial Reporting Standards.

Membership disputes

Tom appears in domestic tribunals of all kinds.  He represented the National Executive Committee of the Labour Party in National Constitutional Committee proceedings in which a member was accused of anti-Semitic abuse.  He is also an appointed investigator for a professional association, for which he has carried out a number of investigations.

Media & Privacy, Data Protection and Information Law

Tom acts in:

  • Information Commissioner enforcement proceedings and related regulatory matters; and,
  • Civil claims relating to data breaches, misuse of confidential information and media/privacy matters.

Tom’s experience includes:

  • Advising on data transfers to the United States of America in a sensitive commercial matter;
  • Advising on the response to subject access requests;
  • Assisting HM Treasury in a FOIA matter heard before the First-Tier Tribunal.

Public, Equality and Education Law

Tom acts in a range of administrative law matters, particularly those relating to equality law, regulatory matters, and education.

Tom has particular experience of the Firefighters Pension Schemes and issues relating to injury awards.  He completed a lengthy investigation in relation to the payment of injury awards at Buckinghamshire and Milton Keynes Fire Authority in 2015, the interim report for which is available here.  He has advised a number of fire authorities on similar matters.

Equality law

Tom acts in a range of discrimination and equality matters in the County Court, Employment Tribunal and First-Tier Tribunal.  Examples of Tom’s cases include:

– Tom represented a residential estate (Royal Herbert Freehold Ltd) in a case brought against it in the County Court by Mr James Plummer, which was funded by the Equality and Human Rights Commission (see here). The main issues were whether Royal Herbert was a service provider, and whether it had failed to make reasonable adjustments to its premises to permit Mr Plummer, a wheelchair user, to access the swimming pool on the estate.

– Tom advised a leading bank on the question of reasonable adjustments in the context of a consumer redress exercise.

– Tom represented a leading independent school in a challenge in the First-Tier Tribunal to its use of an aptitude test in its admissions arrangements.

– Tom is represented a leading university in defending a reasonable adjustments claim in the County Court in respect of its admissions procedures.

– Tom represents a national supermarket in a disability discrimination and harassment claim brought against it.

– Tom has advised the Flying Disabled campaign, which aims to ensure that wheelchair users can travel in aeroplanes using their own wheelchair, without having to transfer to a seat (problems relating to which BBC journalist Frank Gardiner has documented).

– Tom was instructed by the Treasury Solicitor to assist in the preparation of the evidence for the judicial review R(C) v Secretary of State for Work and Pensions [2014] EWHC 2403 (Admin).

Regulatory law

Tom regularly advises clients in a contested disciplinary context as to their options in public law vis-à-vis regulatory action: see the ‘regulatory’ section above.

In 2016, Tom was instructed to act for the FCA, who was an interested party in a judicial review of the Financial Ombudsman Service brought by Admiral Wealth Management.

Education

Tom’s education law practice concentrates on discrimination claims, exclusions, and contractual/negligence issues (particularly in a University context).  Tom appears in the High Court, First-Tier Tribunal and the County Court in relation to his education work.  Many of his cases have an equalities angle; see the ‘Equality Law’ section above.

Tom has acted for a nursery seeking an interim injunction against Ofsted seeking to restrain the publication of a critical Ofsted report.

Tom has particular expertise in school exclusion matters on account of his previous work as a teacher, and his continued pro bono work on the School Exclusion Project, of which he is a barrister director.

Prior to joining the Bar, Tom was a teacher at the London Boxing Academy Community Project, for teenage boys, many of whom had been permanently excluded from school.

Recommendations

“He is technically excellent, hard-working, responsive and confident in his advice. He is the barrister that springs to mind for a complex employment dispute in the financial services industry, as he really adds value and is a brilliant team player.” Chambers & Partners

“He is a really accessible and approachable barrister with huge expertise in employment issues for regulated financial services employers.” Chambers & Partners

“Tom is very professional, offers sound and thorough advice, also strikes a good rapport with the client” Legal 500

“He is very accessible and down to earth in his approach, yet comprehensive and confident in his advice” Legal 500

“He’s incredibly perceptive, very bright and gets the job done; he’s a go-to on very technical matters.” Chambers & Partners

“Very bright and technically astute.” Legal 500

“He’s really good in technical terms and is very responsive and very calm with clients.” Chambers & Partners

“He does an excellent job of making the dry and labyrinthine regulations clear.” Chambers & Partners

News, Articles and Publications

Tom is the co-editor of Conduct and Pay in the Financial Services Industry: the Regulation of Individuals (link) (with Richard Leiper QC), Informa from Routledge, 2017.

Boxing Clever, (2012), Civitas.  This book describes Tom’s career prior to the Bar, in which he was a teacher at the London Boxing Academy Community Project in Tottenham, North London, a school which catered for teenagers who had been expelled from mainstream schools.

A New Secret Garden? Alternative Provision, Exclusion and Children’s Rights, (2010), Civitas.

Tom Ogg, Anna Zimdars, and Anthony Heath (2009) ‘Schooling effects on degree performance: a comparison of the predictive validity of aptitude testing and secondary school grades at Oxford University’, British Journal of Educational Research, Vol. 35(5) pp.781 – 807 (concerning the impact of attending either a state school or an independent school upon performance in final examinations at Oxford University).

 

Education

University of Oxford, BA (Hons) Politics, Philosophy and Economics (PPE), Corpus Christi College.

University of Oxford, MSc Sociology, Nuffield College.

City, University of London, Graduate Diploma in Law.

City, University of London, Bar Professional Training Course.

Other

Tom is a Barrister Director of the School Exclusion Project (link), and an Honorary Visiting Lecturer at the City Law School, University of London in relation to the same.

Tom is a member of the ‘C Panel’ for both the Attorney General’s and Equality and Human Rights Commission’s Panel of Counsel.

Tom has also acted in cases in the Dubai International Financial Centre (DIFC).

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Regulatory Information

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Professional title: Barrister

Full name (as registered with Bar Standards Board of England and Wales): Thomas Ogg

VAT Number: GB 167442494

Legal Status: Sole Practitioner

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