Securities Litigation

Our securities litigation practice represents participants in the capital markets, financial services industry and insurance industry in a variety of civil and regulatory disputes, including: allegations of non-compliance with regulations, legislation and internal dealer policies; breaches of duty of care, including breach of fiduciary duty, between dealers/advisors/agents and their clients; employment/agency law disputes; trading violations; professional negligence liability and discipline; fraud; investment suitability and losses; leverage issues; and allegations of public disclosure violations, including failure to disclose material changes or material facts, misleading disclosures or other Securities Act violations. We are also active in securities policy development.

Our lawyers regularly represent clients before the courts, the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA), the Ontario Securities Commission (OSC), the Financial Services Commission of Ontario (FSCO), the Financial Planning Standards Council (FPSC) and the Ombudsman for Banking Services and Investments (OBSI).