Securities

Harper Grey securities lawyers have acted for individuals, investment advisors, brokers and brokerages of all sizes on a wide range of hearings, before the Supreme Court of B.C., the Investment Dealers’ Association, the BC Securities Commission, the Mutual Fund Dealers Association, Market Regulation Services, and the Insurance Council of B.C.

We regularly provide advice and represent clients in matters involving civil litigation, regulatory charges, disciplinary hearings, and criminal trials. A few of the many issues we have been involved with include allegations of unauthorised/insider trading, stock churning, stock fraud, suitability of investments, and arbitration of securities disputes. We have extensive expertience in this area. Rod Anderson is a recognized leader in securities litigation in B.C., and Ronald Pelletier’s securities background includes time spent in Toronto as Chief Counsel (Enforcement) for the Toronto Stock Exchange.

Publications

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