- Lead counsel in obtaining a favorable federal civil jury verdict on behalf of eight directors and officers of a failed community bank sued personally by the FDIC for breach of fiduciary duty. [Georgia]
- Lead counsel for a national broker-dealer firm in the defense of a series of FINRA customer arbitration claims alleging that the recommendations of variable annuities and nontraded REITs to early retirees were unsuitable, based on misleading representations and omissions, and constituted breaches of fiduciary duty. [California]
- Lead counsel for a life policy investor claiming $40 million in policy proceeds in a series of federal court interpleader actions. [New York]
- Lead counsel in obtaining an acquittal for an investment adviser charged with six felony counts of investment adviser fraud, false writings and attempted theft by deception arising out of the operation of an investment program. [Georgia]
- Lead counsel in the defense of a state court class action brought on behalf of a public school teacher and employee participants in the state’s retirement system alleging fraud on the part of a leading annuity company. [West Virginia]
- Lead counsel for an investment adviser and related mutual fund companies in the successful defense of an ERISA class action alleging prohibited transactions and fiduciary breaches resulting in poor investment performance. [New Jersey]
- Lead counsel in the defense of a national broker-dealer firm sued in state court by family trusts that suffered $26 million in losses allegedly caused by a representative’s undisclosed activities away from the firm. [Washington]
- The successful defense of the investment management arm of a major international financial services company accused of securities fraud in connection with the restructuring of a large privately held promotional products company. [Indiana]
- Lead counsel in obtaining a complete defense victory in FINRA arbitration for a wholesale broker-dealer of a major annuity manufacturer in market timing. [Florida]
- Lead counsel representing a variable annuity distributor in a series of NASD arbitrations alleging fraudulent sales practices. [California, Colorado, Maryland, Michigan and Pennsylvania]
- Phone: 404.881.7639
- Other Phone: 704.444.1143
- Email: tod.sawicki@alston.com
For more than 30 years, Tod has honed his skills as a first-chair trial lawyer in high-stakes securities and business litigation, both civil and criminal, and is often called upon to take over as trial approaches. Beyond the courtroom, Tod regularly counsels, speaks, and writes on the latest securities compliance topics and has advised regulators and professionals in emerging markets worldwide.