Tom Swigert is a trial lawyer and a partner in the Minneapolis office of Dorsey & Whitney, and he serves as the co-Chair of the Securities and Financial Services Litigation practice group. He represents clients who are parties to complex securities and financial related disputes as well as clients who are the subject of investigations by the U.S. Securities and Exchange Commission, the Department of Labor, and other regulatory agencies. Tom advises and litigates on behalf of corporations engaged in merger and acquisition activity, including fiduciary and appraisal actions, and he has served as counsel in class actions brought under the federal and state securities laws, ERISA, and state consumer protection statutes. He also represents international clients in connection with cross-border securities and Foreign Corrupt Practices Act investigations, and he conducts internal investigations on behalf of foreign and domestic clients relating to accounting, securities, and FCPA issues.
Tom's expertise includes securities fraud, insider trading, officer and director liability, broker-dealer disputes, shareholder and private equity disputes, dissenters' rights, lender liability, mortgage broker claims, deceptive trade practice claims, and commercial contract disputes. Tom has a national practice, and he has tried cases in state and federal courts, including bankruptcy adversary proceedings, as well as before FINRA arbitration panels.