Ron 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 five years working in Toronto for the firm Borden Ladner Gervais and as Chief Counsel (Enforcement) for the Toronto Stock Exchange.
Representative Client Work
- 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 Securities Commission and self-regulatory organizations such as the Investment Dealer’s Association, the Mutual Fund Dealer’s Association, and Regulation Services
- 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
- The successful appeal of 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.
Professional & Civic Activities
- Member, Canadian Bar Association, British Columbia Branch - Securities Law subsection
Publications
