Tod Sawicki is a partner in the Securities Litigation Group and is one of the group’s specialists in broker-dealer, investment advisory and hedge fund litigation, arbitration, regulatory counseling and representation.
Tod has substantial first-chair trial experience in civil and criminal actions, as well as FINRA, NASD and NYSE arbitrations and SEC and NASD regulatory proceedings. He has successfully represented a number of companies, financial services firms, investment managers, executives and professionals in a wide range of litigation matters arising out of securities offerings, securities transactions, and claims of executive and professional liability in class actions, derivative actions and individual actions.
In October 2005, Tod was elected to a three-year term on the National Society of Compliance Professionals, the leading national non-profit organization dedicated to serving and supporting compliance officials in the securities industry. He also regularly speaks and writes on the topics of SEC and NASD regulatory issues and trends, arbitration and litigation. He has been a featured speaker on supervisory liability, compliance issues and new regulatory developments at the National Society of Compliance Professionals national and regional meetings in 2003, 2004, 2005, 2006 and 2007. He is also a member of the Securities Industry and Financial Markets Association Legal and Compliance Division.
Tod Sawicki is a partner in the Securities Litigation Group and is one of the group’s specialists in broker-dealer, investment advisory and hedge fund litigation, arbitration, regulatory counseling and representation.
Tod has substantial first-chair trial experience in civil and criminal actions, as well as FINRA, NASD and NYSE arbitrations and SEC and NASD regulatory proceedings. He has successfully represented a number of companies, financial services firms, investment managers, executives and professionals in a wide range of litigation matters arising out of securities offerings, securities transactions, and claims of executive and professional liability in class actions, derivative actions and individual actions.
In October 2005, Tod was elected to a three-year term on the National Society of Compliance Professionals, the leading national non-profit organization dedicated to serving and supporting compliance officials in the securities industry. He also regularly speaks and writes on the topics of SEC and NASD regulatory issues and trends, arbitration and litigation. He has been a featured speaker on supervisory liability, compliance issues and new regulatory developments at the National Society of Compliance Professionals national and regional meetings in 2003, 2004, 2005, 2006 and 2007. He is also a member of the Securities Industry and Financial Markets Association Legal and Compliance Division.
In June 2004, Tod traveled to Dubai, United Arab Emirates to present a four-day program on securities enforcement and market oversight along with representatives of the SEC and the Dubai Financial Services Authority. In March 1999, at the request of the Financial Services Volunteer Corps, he provided commentary and proposed revisions to the Varazdin, Croatia OTC Market Surveillance and Enforcement Rules. In September 1997, Tod spent two weeks in Croatia as part of a Financial Services Volunteer Corps independent expert assessment team evaluating shareholder rights following that country’s privatization effort.
Tod received his B.A. degree, cum laude, in 1982 from Duke University and his J.D. degree in 1985 from Emory University School of Law, where he was notes and comments editor of the Emory Law Journal. Upon graduation from law school, he served as a law clerk to The Honorable John H. Moore, II, United States District Judge for the Middle District of Florida. Tod is admitted to practice before the U.S. Supreme Court, the United States Court of Appeals for the Eleventh Circuit, the United States Court of Appeals for the Third Circuit and numerous federal district courts.