Thomas P. Swigert

Partner

Minneapolis

P: (612) 492-5677

F: (612) 340-8800

Mr. Swigert is a trial lawyer and a partner in the Minneapolis office of Dorsey & Whitney. 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 and other regulatory agencies. Mr. Swigert has served as trial 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 investigations and Foreign Corrupt Practices Act investigations.

Mr. Swigert's expertise includes securities fraud, insider trading, officer and director liability, broker-dealer disputes, shareholder and private equity disputes, dissenters' rights, lender liability, accounting malpractice, mortgage broker claims, deceptive trade practice claims, and commercial contract disputes. Mr. Swigert 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.

Representative Litigation

Figas v. Wells Fargo & Co., et al. Counsel for defendants in an ERISA class action alleging various breaches of fiduciary duty relating to investment options within a 401(k) plan.
In re: ATS Medical, Inc. Shareholder Litigation. Defense against purported class action seeking to enjoin a corporate merger.
In re: UnitedHealth Group Incorporated PSLRA Litigation and Derivative Litigation. Counsel for defendants in federal class action and derivative cases alleging claims based on the backdating of options.
Midas Fund, Inc. v. Gammon Gold, Inc., et al. Counsel for defendants in an action alleging securities fraud filed in the U.S. District Court for the Southern District of New York.
Represented a Canadian publicly traded corporation in connection with a joint cross-border inside trading investigation conducted by the SEC and the Ontario Securities Commission.
Represented a Swiss publicly traded corporation in connection with a Foreign Corrupt Practices Act investigation by the SEC.
In re: ADC Telecommunications, Inc. ERISA Litigation. Counsel for defendants in a federal class action alleging fraud and violations of ERISA.
Ricci et al. v. Ameriquest Mortgage Company. Defense counsel for mortgage lender in a state class action alleging fraud and deceptive trade practices.
NASD and NYSE arbitrations. Tried numerous customer arbitrations to award for major broker-dealer firms including Merrill Lynch, Citigroup and Ameriprise.
Loop Corp. et al. v. McIlroy et al. Defense counsel for Big Four accounting firm in a state action alleging malpractice and securities fraud.
Hislop v. Greenwich Street Capital Partners. Plaintiff counsel for former officers of a privately held company seeking recovery from a private equity firm for fraud.
In re: Vroom Technologies, Inc. Defense counsel for secured lenders against lender liability claims brought by a distressed internet company in bankruptcy.
U.S. Bancorp v. Western America Mortgage Company. Plaintiff counsel for bank seeking recovery of substantial payments retained by retail mortgage company.
J.F. Rhode, et al. v. Divion Technology, Inc., et al. Defense counsel in federal securities fraud action filed against officers and directors of a privately held company. Obtained dismissal which the 8th Circuit affirmed on appeal.
Zivitz v. Greenberg, et al. Defense counsel for a former director and CEO of a publicly traded company in a securities fraud action.
First State Bank of Cosmos, et al. v. Spinner, et al. Represented a broker-dealer, its principals, and its employees in a securities fraud matter related to the Towers Financial scandal.