Moore & Van Allen Law Firm, Attorneys
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  • B.S., West Virginia University
  • J.D., New York University School of Law
  • New York, 1983
  • *Licensed in New York. Not licensed in North Carolina.
100 North Tryon Street
Suite 4700
Charlotte, NC 28202-4003

Thomas A. Pennington

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Tom Pennington, former General Counsel for the Americas of The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU), focuses his practice on federal regulatory advice, defense and investigations as part of the firm’s Litigation practice group, as well as federal and New York corporate governance and corporate finance matters.  

Pennington served as General Counsel for the Americas of The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU), one of the world’s largest financial institutions, from 2007 to 2014.  He was responsible for the oversight and management of the Bank’s legal risk and affairs in the United States, Canada, and Latin America as well as legal support for all of the Bank’s transactional businesses.  Pennington was a member of the Bank’s Headquarters for the Americas Executive Committee, Latin America Executive Committee, and a number of other management committees including Business Strategy, Risk and Capital, and Compliance.  He also served as a director of BTMU Leasing & Finance, Inc., BTMU LF Capital LLC, BTMU Securities, Inc. and MUFG Americas Capital Company.  He also acted as Corporate Secretary and as the primary legal advisor to many of the Bank’s subsidiaries operating in the United States.

From mid-2014 through the end of 2015, Pennington served as a Managing Director and Deputy General Counsel of MUFG Union Bank (MUB), a National Bank subsidiary of BTMU.  He held the same positions with BTMU and was responsible for the Wholesale Banking Group of MUFG Americas Legal Department.  The Wholesale Banking Group is comprised of the corporate banking, investment banking and commercial banking units of MUB and BTMU, with operations throughout the United States, Canada, and Latin America.  Pennington continued to serve as a director, corporate secretary and legal advisor to many of the bank’s subsidiaries in the U.S.

Before joining BTMU in 2007, Pennington served as Executive Vice President and General Counsel of Mitsubishi UFJ Trust and Banking Corporation (MUTB), a sister company of BTMU, where he was responsible for the U.S. Legal and Compliance Departments.  At MUTB, Pennington served as a member of the Operations and Management Committee, the executive committee responsible for management of all aspects of the bank’s operations in the United States.  He acted as the primary liaison with all U.S. regulatory authorities and was instrumental in the creation and management of the Portfolio Management Group, with responsibility for management of the credit risk of the bank’s loan portfolio.

Pennington was in private practice prior to joining MUTB, specializing in mergers and acquisitions and corporate finance.  Pennington received his law degree from New York University School of Law and is a member of the New York State Bar.  Pennington holds a BS (summa cum laude) in Business Administration from West Virginia University.  He also obtained a Diploma in Credit Analysis from New York University School of Continuing and Professional Studies.