Theodore J. Sawicki - Alston & Bird LLP

Theodore J. Sawicki

Listed in Best Lawyers since 2013

Tod is a seasoned first-chair trial lawyer with expertise in securities, investment advisory and executive and professional liability matters (both civil and criminal), who consistently gets great results for his clients in complex, high-dollar matters across the country. He has acted as lead counsel in cases and arbitrations in 21 states and counting.

Tod is a Partner in the Firm’s Securities Litigation Group and is one of the Group’s specialists in broker-dealer and investment advisory litigation, arbitration, regulatory counseling and representation. Tod regularly speaks and writes on the topics of arbitration, securities litigation, and SEC regulatory issues and trends.

In June 2004, Tod traveled to Dubai, U.A.E., 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 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, and then provided commentary and proposed revisions to the Varazdin, Croatia OTC Market Surveillance and Enforcement Rules in March 1999.

Duke UniversityBA 1982Emory UniversityJ.D. 1985
Securities Industry and Financial Markets Association

Case History


  • 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]
  • The successful prosecution of a series of actions for injunctive and declaratory relief in the federal courts of Virginia, Colorado and California on behalf of a national broker-dealer firm prohibiting the arbitration of successor liability claims brought by customers of a defunct firm that sold assets to our client.
  • 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] 
Part 2
  • Lead counsel for the directors of a large privately held Florida corporation in defense of a federal court shareholder derivative action alleging mismanagement and improper disregard of minority interests and seeking $63 million in damages. Obtained complete summary judgment on the eve of the trial. [Florida]
  • Lead counsel for the largest video poker operator in South Carolina in defense of federal RICO claims in two South Carolina federal court trials. Case settled on very favorable terms at the end of the second trial.
  • Co-lead counsel for a billion-dollar public company in injunction action against a hostile tender offeror and separately filed shareholder class actions. [Georgia]
  • Lead counsel in obtaining judgment as a matter of law for a public company sued for fraud by a rebuffed acquisition target. [Georgia] 
  • As co-lead counsel, successfully defended a publicly traded REIT in a federal securities class action that settled very favorably on the day before trial due to the dismissal of virtually all of the plaintiff’s class claims and exclusion of the plaintiff’s purported damages expert under Daubert. [Kansas]
Part 3
  • Lead counsel defending an international insurance brokerage against a multimillion-dollar claim arising out of bonding for Venezuelan military contracts. Case settled on favorable terms after the jury trial and reversal and remand after appeal. [Georgia]
  • Lead counsel for a national broker-dealer/registered investment adviser in a purported class action alleging wrongdoing in connection with an asset allocation program. Defeated the class certification and led the matter toward a favorable settled resolution. [Georgia]
  • Lead counsel to a regional broker-dealer in a nationally followed SEC administrative proceeding alleging fraudulent markups in government agency zero coupon bond and municipal bond transactions. [Georgia]
  • Lead counsel to an investment adviser in complex litigation involving a Dallas, Texas, hedge fund arising out of alleged misrepresentations about the fund’s investment program, improper investments and misappropriation of fund assets. 
  • Lead counsel for executive officers in several SEC investigations and enforcement actions involving insider trading, accounting restatements and similar issues.
  • Lead counsel for national and regional broker-dealers in numerous NASD arbitrations seeking multimillion-dollar awards involving selling away, suitability, unauthorized trading, securities fraud and negligent supervision.
Other Court Admissions
  • USDC, Middle District of Georgia
  • USDC, Northern District of Georgia
  • USDC, Middle District of Florida
  • US Court of Appeals, Third Circuit
  • US Court of Appeals, Fourth Circuit
  • US Court of Appeals, Eleventh Circuit
  • US Supreme Court

Office Location

One Atlantic Center, Suite 4900
1201 West Peachtree Street
Atlanta, GA 30309-3424
United States

Practice Areas

Litigation - Securities