- Philip Ellis and Hazel Ellis v. Charles Schwab Canada Co. et al, June 6, 2008
Counsel for the Defendants in a claim alleging breach of contract and negligence in relation to the Plaintiffs' investment accounts. Application for documents brought by the Defendants for account opening documentation and statements and tax returns for the period prior to, during, and post-operation of the accounts by the Defendants
- Thomson v. Berkshire Investment Group Inc. et al.
Counsel for Berkshire Group Inc. in relation to a number of claims brought by individuals arising out of their dealings with Ian Thow, whose licence was sponsored a the material time by Berkshire. Claims brought in negligence, breach of fiduciary duty and on the basis of vicarious liability
- Averill et al v. TD Securities Inc. et al.
Counsel for the Defendant TD Securities Inc. in an action alleging negligence, breach of fiduciary duty, breach of trust and vicarious liability in relation to an investment product purchased by a number of individuals from the other defendants
Acted for CDS at trial and on appeal in relation to a claim alleging breach of trust or fiduciary duty and negligence in relation to offers to purchase preferred shares which the Plaintiff owned in BCE Place Finance Corporation for which CDS was the registered shareholder and sub-custodian. The claim against CDS was dismissed as was the appeal
- Bremner v. Research Capital Corporation, et al.
Action brought by a client against her advisor and the firm
- Everest Investors 15, LLC et al and Del Cano Properties Trust, 2001 BCSECCOMM1082
Acted for Everest in respect of its take over bide for the priority preferred shares of Del Cano Properties Trust for an order cease trading Del Cano's rights plan
On November 3, 2006, Imperial Metals Corporation and its subsidiary CAT-Gold Corporation applied to the Commission under section 161(1) of the Securities Act, RSBC 1996, c.418 for an order to cease trade the shareholder rights plan of bcMetals Corporation so that Imperial could freely take up bcMetals shares under its bid without triggering the rights plan. On November 6, 2006, bcMetals applied to the Commission under section 114 of the Act for an order that Imperial comply with the Act and give holders of bcMetals shares taken up by Imperial the right to withdraw them from the bid. The BC Securities Commission ruled that Imperial did not have standing to apply for a cease trade order and bcMetals' application was refused
- Exemption Review Hearing before the Investment Dealers Association of Canada – May, 2006
Counsel for the applicant on an exemption review hearing in relation to an application for an exemption from the requirement to write the Canadian Commodity Supervisors Examination
- Counsel for a number of investment advisors and dealers in relation to claims alleging negligence, breach of contract, and breach of fiduciary duty
- Appeared as counsel to a number of individuals and dealers when being interviewed in the context of investigations conducted by the Investment Dealers' Association, the Mutual Fund Dealers' Association and the B.C. Securities Commission
- Appeared as counsel to a number of individuals and dealers in relation to production orders, investigations and notices of hearing issued by securities regulators
- Appeared as counsel to advisors and dealers in IDA Arbitrations