Securities Regulation & Litigation

With a reputation as being among the best securities litigation firms in the country, we provide straightforward, informed advice and creative solutions to resolve your situation.

We represent securities clients whose reputation, ability to operate, and share value are seriously threatened.

Broker dealers, investment advisors, mutual fund salespeople, brokerage firms, public companies, directors and officers rely on our lawyers to resolve their securities law issues fairly and efficiently.

Our lawyers handle securities matters involving both civil and criminal law. We take an objective, pragmatic view of your best options, and rely on strong, respectful relationships with authorities to negotiate a solution.

Securities Regulation & Litigation Services

  • Regulatory proceedings before the Canadian Investment Regulatory Organization (CIRO) and the BC Securities Commission.
  • Defending securities professionals against allegations of fraud, negligent misrepresentation and misappropriation
  • Defence against charges relating to white collar crime.
  • Directors and officers liability - advice and representation in matters involving oppression, derivative actions and/or breach of fiduciary duty.

  • Shareholder disputes - representation of public companies and individuals.
  • Suitability issues - helping individuals deal with issues raised by the TSX-Venture Exchange.
  • US Securities and Exchange Commission investigations - representing companies, directors, officers and business people in cross-border matters concerning investigations and procedures undertaken by US issuers.
  • Multilateral Assistance Treaty Act issues.

Practice Group Partners

Private: Owais Ahmed* Partner
Erin Hatch* Partner
John P. Sullivan* Partner
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Typical Situations

A director of a public mining company is accused of misappropriating funds and fraud.

A broker dealer is under investigation after a regulator receives multiple complaints from her clients about her communication and reporting procedures.

A brokerage firm discovers that it has major compliance discrepancies with a securities commission.

Harper Grey recognized as "Repeatedly Recommended" in the area of Litigation – Securities by Canadian Legal Lexpert Directory®, 2020-2024

Select Cases

Allegations of a commission kickback

Representing a broker against allegations of a commission kickback arrangement.

RRSP stripping scheme

Defence of a registered representative against allegations of an “RRSP stripping scheme”.

Representing a broker

Representing a broker against an indemnity lawsuit alleging that he guaranteed clients a rate of return on notes.

Fine reduced by $1,400,000

Representing a Victoria-based mutual fund salesperson in an appeal of a $2 million fine imposed by the BC Securities Commission. The fine was reduced to $600,000.

CEO removed from his role

Representing a CEO removed from his role at a public company.

Acting for the chairman and CEO of Ebco Industries

Acting for the chairman and CEO of Ebco Industries in a 45-day trial. The litigation was brought by a minority shareholder. It is one of the few directors and officers liability claims ever to proceed to a full trial in British Columbia.

Securities matter

Representing a plaintiff in a securities matter set for a 25-day trial.

Proceedings before IIROC and the BC Securities Commission

Our group represents many clients in proceedings before IIROC and the BC Securities Commission. Most of these matters are settled through negotiation that is unreported by regulatory authorities.

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Need a Lawyer?
Get in touch with our securities regulation team.

The Latest

Harper Grey Securities Litigation Group recognized as “Repeatedly Recommended” by 2024 Canadian Legal Lexpert Directory
Harper Grey Securities Litigation Group recognized as “Repeatedly Recommended” by 2024 Canadian Legal Lexpert Directory
Owais Ahmed to speak at CLE BC Securities Litigation 2024 webinar
Owais Ahmed to speak at CLE BC Securities Litigation 2024 webinar Owais Ahmed to speak at CLE BC Securities Litigation 2024 webinar
2024 Canadian Legal Lexpert Directory recognizes Harper Grey as a leading law firm in 6 practice areas in Vancouver
2024 Canadian Legal Lexpert Directory recognizes Harper Grey as a leading law firm in 6 practice areas in Vancouver
22 Harper Grey lawyers recognized as “Leading Practitioners” by Canadian Legal Lexpert® Directory 2024
22 Harper Grey lawyers recognized as “Leading Practitioners” by Canadian Legal Lexpert® Directory 2024
Harper Grey named one of Vancouver’s leading Litigation Firms in 2024 Lexpert ALM 500 Guide
Harper Grey named one of Vancouver’s leading Litigation Firms in 2024 Lexpert ALM 500 Guide
Owais Ahmed recognized with 2023 Lexpert® Rising Star Award
Owais Ahmed recognized with 2023 Lexpert® Rising Star Award Owais Ahmed recognized with 2023 Lexpert® Rising Star Award
Jessica Mank Provides Insight on BCSC Whistleblower Program
Jessica Mank Provides Insight on BCSC Whistleblower Program Jessica Mank Provides Insight on BCSC Whistleblower Program
Owais Ahmed inducted as Fellow of the Litigation Counsel of America
Owais Ahmed inducted as Fellow of the Litigation Counsel of America Owais Ahmed inducted as Fellow of the Litigation Counsel of America
11 Harper Grey lawyers recognized by Chambers Canada 2024
11 Harper Grey lawyers recognized by Chambers Canada 2024
Harper Grey receives 72 rankings from Best Lawyers Canada 2024
Harper Grey receives 72 rankings from Best Lawyers Canada 2024
Harper Grey welcomes new associate, Jessica Mank
Harper Grey welcomes new associate, Jessica Mank Harper Grey welcomes new associate, Jessica Mank
Owais Ahmed shortlisted by Benchmark Canada 2023 for Emerging Talent – British Columbia Litigator of the Year Award
Owais Ahmed shortlisted by Benchmark Canada 2023 for Emerging Talent – British Columbia Litigator of the Year Award Owais Ahmed shortlisted by Benchmark Canada 2023 for Emerging Talent – British Columbia Litigator of the Year Award
21 Harper Grey lawyers recognized as “Leading Practitioners” by Canadian Legal Lexpert® Directory 2023
21 Harper Grey lawyers recognized as “Leading Practitioners” by Canadian Legal Lexpert® Directory 2023
Harper Grey Hits Centre of the Lexpert Bull’s-Eye Chart for Third Consecutive Year!
Harper Grey Hits Centre of the Lexpert Bull’s-Eye Chart for Third Consecutive Year! Harper Grey Hits Centre of the Lexpert Bull’s-Eye Chart for Third Consecutive Year!
Rod Anderson included in Lexpert’s Special Edition: Litigation 2022
Rod Anderson included in Lexpert’s Special Edition: Litigation 2022 Rod Anderson included in Lexpert’s Special Edition: Litigation 2022
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