Securities Litigation and Regulation

We represent individuals and corporations whose business involves the capital markets in British Columbia. This includes broker dealers, registered representatives, investment advisors, mutual funds sales persons, traders, public companies, investor relations individuals, and directors and officers of public companies.

We also regularly represent individuals and corporations in disputes they have with investment professionals and firms. We provide advice and representation in civil litigation matters, securities-related criminal charges and in securities- related regulatory investigations and disciplinary proceedings.

Representative Experience

A few of the many issues and allegations we have been involved with:

• unauthorized trading and/or failure to follow instructions
• unsuitable investment advice and/or trading
• exchange trading rule violations
• fraud and misrepresentation, including misrepresentations in prospectus’s, offering memorandums, news releases and other such documents
• insider trading
• market manipulation
• adequacy of supervision and compliance
• investigations and prosecutions by securities regulatory authorities
• on-going advice to securities professionals in relation to securities regulatory investigations, audits and hearings
• cross-border issues pertaining to investigations and prosecutions by extra-Provincial and foreign securities regulatory authorities into conduct involving residents of British Columbia

Our Securities Litigation and Regulation lawyers are also experienced in litigation involving shareholder disputes, oppression remedies, proxy contests, corporate reorganizations and plans of arrangement, corporate governance disputes as well as director and officer liability issues, and issuer and investment dealer disclosure and liability matters.

Our Areas of Focus

Our Securities Litigation and Regulation lawyers have represented clients in proceedings before the following Courts and Tribunals:

• Supreme Court of Canada
• British Columbia Court of Appeal
• British Columbia Supreme Court
• British Columbia Securities Commission
• Investment Dealers Association of Canada
• Mutual Fund Dealers Association
• Market Regulation Services Inc.
• TSX Venture Exchange
• Ontario Securities Commission
• Ontario Superior Court of Justice
• Financial Institutions Commission of BC

Contact Person

The chair of Harper Grey’s Securities Litigation and Regulation practice group is H. Roderick Anderson. You may reach Rod at 604.895.2849 or at randerson@harpergrey.com.