Biography

Ron Pelletier practices in the areas of commercial and securities litigation with an emphasis on broker liability claims and securities regulatory proceedings.

Before joining Harper Grey, Ron practiced with the firm Anderson & Galati and spent several years working for the firm Borden Ladner Gervais in Toronto. Ron has also held the position of Chief Counsel (Enforcement) for the Toronto Stock Exchange.  

Education

• University of British Columbia, LL.B., 1990
• University of Alberta, B.Comm, 1985

Bar Admissions

• British Columbia, 1991
  
• Ontario, 1998
  

Leadership

• Member, Canadian Bar Association - BC Branch, Securities Law Subsection
  

Client Work

Securities Regulation and Litigation

• Acting for individuals and corporations whose business involves providing investment advice and trading in securities and other financial products. This includes providing advice and representation in investigations by and proceedings before the BC Securities Commission and self-regulatory organizations such as IIROC
  
• Acting for plaintiffs and defendants in lawsuits against stockbrokers and their firms related to a variety of claims including negligent advice, unsuitable investments, unauthorized trading and breaches of fiduciary duty
• Acting for directors and officers in claims based upon oppression, derivative actions, negligence, breach of fiduciary duties and regulatory proceedings
• Successfully appealling a fine imposed by the BC Securities Commission against a Victoria-based mutual fund salesperson. The fine was reduced from $6 million to $250,000.
• Representing a broker against an indemnity lawsuit alleging that he guaranteed clients a rate of return on notes
• Representing a broker against allegations of a commission kickback arrangement
• Defence of a registered representative against allegations of an "RRSP stripping scheme"
  

Articles

There is no publications for this lawyer