TOM DEFENDS HIS CLIENTS' INTERESTS AND ENFORCES THEIR RIGHTS THROUGH LITIGATION AND AT TRIAL.
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.
Education & Admissions
Northwestern University School of Law (J.D.)
Dartmouth College (B.A.)
- U.S. District Court for the District of Colorado
- U.S. District Court for the Northern District of Illinois
- U.S. District Court for the District of Minnesota
- U.S. Court of Appeals for the Eighth Circuit
- U.S. Court of Appeals for the Ninth Circuit
- Engaged to conduct an internal investigation for a Chinese company publicly traded in the U.S. relating to accounting issues.
- Counsel for Chinese founder of a company publicly traded in the U.S. in connection with share restriction agreements.
- Adedipe v. U.S. Bank, National Association, et. al. Counsel for defendants in an ERISA class action alleging breach of fiduciary duty relating to asset allocation within a defined benefit plan.
- 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.
- Counsel for Australian individual in connection with breach of contract claims against a subsidiary of a French multi-national defense contractor.
- 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.
- 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. Bank National Association v. SGB Corporation d/b/a WestAmerica Mortgage Company et al. 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.
News & Resources
February 5, 2016
January 28, 2016
June 27, 2013
November 3, 2011
November 5, 2009
Events & Speaking Engagements
“Arbitration Wars: How to Win Your Employment Arbitration Case,” Dorsey & Whitney LLP Labor and Employment 2016 Conference, CLE panel presentation
March 3, 2016
Industries & Practices
- Class Action Litigation
- ERISA Litigation
- International Arbitration & Litigation
- Mortgage Banking
- Securities & Financial Services Litigation & Enforcement