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Securities Litigation



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Securities Litigation

Our lawyers have acted for various capital market participants in proceedings for breaches of securities legislation, appeals from commissions and in quasi-criminal proceedings brought under provincial securities legislation. We have also acted for both plaintiffs and defendants in broker-client litigation in claims involving:

discretionary and/or unauthorized trading;

unsuitable investment;

churning;

breach of fiduciary duties;

breaches of account agreements; and

failure to supervise.

United Services Funds v. Richardson Greenshields of Canada Ltd. (1988), 22 B.C.L.R. (2d) 322 (S.C.): Represented brokerage house in $25 million securities fraud action.

In the Matter of Amswiss Scientific Inc. and Others, C.A.B.C. Action No. CA013914, Vancouver Registry: Securities Commission proceedings and Supreme Court proceedings relating to alleged breaches of the Securities Act and challenges to search warrants.

Hladun v. Valley Mortage B.C.S.C. Action No.S003140, Vancouver Registry: Action on behalf of 83 individual aged investors against TD Securities and others, resulting in a substantial settlement, which settlement included assuming conduct of related foreclosure proceedings.

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