Securities Regulation & Litigation
With a reputation as being among the best securities litigation firms in the country, we provide straightforward, informed advice and creative solutions to resolve your situation.
We represent securities clients whose reputation, ability to operate, and share value are seriously threatened.
Broker dealers, investment advisors, mutual fund salespeople, brokerage firms, public companies, directors and officers rely on our lawyers to resolve their securities law issues fairly and efficiently.
Our lawyers handle securities matters involving both civil and criminal law. We take an objective, pragmatic view of your best options, and rely on strong, respectful relationships with authorities to negotiate a solution.
Securities Regulation & Litigation Services
- Regulatory proceedings before the Investment Industry Regulatory Organization of Canada (IIROC) and the BC Securities Commission.
- Defending securities professionals against allegations of fraud, negligent misrepresentation and misappropriation
- Defence against charges relating to white collar crime.
- Directors and officers liability - advice and representation in matters involving oppression, derivative actions and/or breach of fiduciary duty.
- Shareholder disputes - representation of public companies and individuals.
- Suitability issues - helping individuals deal with issues raised by the TSX-Venture Exchange.
- US Securities and Exchange Commission investigations - representing companies, directors, officers and business people in cross-border matters concerning investigations and procedures undertaken by US issuers.
- Multilateral Assistance Treaty Act issues.
Typical Situations
A director of a public mining company is accused of misappropriating funds and fraud.
A broker dealer is under investigation after a regulator receives multiple complaints from her clients about her communication and reporting procedures.
A brokerage firm discovers that it has major compliance discrepancies with a securities commission.
Select Cases
Allegations of a commission kickback
Representing a broker against allegations of a commission kickback arrangement.
RRSP stripping scheme
Defence of a registered representative against allegations of an “RRSP stripping scheme”.
Representing a broker
Representing a broker against an indemnity lawsuit alleging that he guaranteed clients a rate of return on notes.
Fine reduced by $1,400,000
Representing a Victoria-based mutual fund salesperson in an appeal of a $2 million fine imposed by the BC Securities Commission. The fine was reduced to $600,000.
CEO removed from his role
Representing a CEO removed from his role at a public company.
Acting for the chairman and CEO of Ebco Industries
Acting for the chairman and CEO of Ebco Industries in a 45-day trial. The litigation was brought by a minority shareholder. It is one of the few directors and officers liability claims ever to proceed to a full trial in British Columbia.
Securities matter
Representing a plaintiff in a securities matter set for a 25-day trial.
Proceedings before IIROC and the BC Securities Commission
Our group represents many clients in proceedings before IIROC and the BC Securities Commission. Most of these matters are settled through negotiation that is unreported by regulatory authorities.
Need a Lawyer?
Get in touch with our securities regulation team.
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