Todd’s practice focuses primarily in the defense of brokerage firms and financial institutions against claims asserted by customers in state and federal court and in arbitration proceedings nationwide. In 2016, Mid-South Super Lawyers has recognized Todd as a “Rising Star” in Securities Litigation. In addition, Todd has a wide range of experience in commercial litigation, including cases involving allegations of violations of Sections 11 and 12 of the ’33 Act, shareholder disputes in close corporations, defending corporations in claims brought by former officers and employees, and representing insurance companies.
Prior to joining Maynard, Cooper & Gale, Todd worked at another Birmingham law firm, primarily defending banks, credit card companies and other financial institutions in cases before various state and federal courts throughout the Southeast. Before attending law school, he was an equity research associate at SunTrust Robinson Humphrey, an investment bank in Atlanta. During this time, he held his Series 7 and Series 63 registered representative broker’s licenses.
He received his J.D. from Cumberland School of Law at Samford University and his B.S. in Management (with a Certificate in Finance) from the Georgia Institute of Technology.
- Significant experience with sales practice cases in arbitrations before FINRA in multiple jurisdictions.
- Significant experience in defense of multiple product claims against brokerage firms relating to preferred stocks, Tenancy-In-Common real estate investments, hedge funds and open and closed-end mutual funds.
- Significant experience in “selling away” cases.
- Recently obtained dismissal of claims against brokerage firm in federal court in South Carolina.
- Defended financial company in cluster of cases in both federal and state courts of Florida where more than $1.0 billion in damages were alleged.
- Successful in obtaining expungements of FINRA CRD records for registered representatives.
- Representation of brokerage firms and individual registered representatives in connection with regulatory investigations.
- In re Sandlin, 2010 WL 1416699 (Bankr. N.D. Ala. Apr. 8, 2010) (summary judgment granted for mortgage servicer client).
- Ex parte Smith Wrecker Service, Inc. , 987 So. 2d 534 (Ala. 2007) (mandamus petition granted on improper venue issue).
- Mid-South Super Lawyers “Rising Star” for Securities Litigation, 2016
Todd’s Affiliations & Civic Involvement
- Securities Industry and Financial Markets Association, Compliance & Legal Society
- Alabama State Bar Association
- Birmingham Bar Association
- Alabama Defense Lawyers Association
- Homewood, AL Youth Sports Coach