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Securities Litigation

No matter how experienced your organization’s leadership, the turbulent economy, increasingly competitive marketplace and frequent regulatory changes can impact your ability to function efficiently and effectively.
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Fasken has extensive securities litigation experience, acting for a broad range of capital market participants including public issuers, bidders and target companies, institutional shareholders, investment dealers, securities advisers and registrants in a wide variety of proceedings before the courts, securities commissions and self-regulatory organizations. Members of our firm have expertise relating to the full range of securities litigation, mediation and arbitration issues, including:

  • Regulatory investigations and enforcement proceedings by self-regulatory organizations including the B.C. Securities Commission, IIROC (Investment Industry Regulatory Organization of Canada) and MFDA (Mutual Fund Dealers Association of Canada) involving issues related to registration, insider trading, suitability, unauthorized trading and other alleged Securities Act infractions
  • Civil proceedings for losses sustained as a result of investment advice claiming fraud, breach of contract, negligence, breach of fiduciary duty based upon allegations of, amongst other things, failure to supervise, churning, discretionary trading, lack of suitability
  • Arbitration proceedings initiated pursuant to the industry process
  • Civil proceedings arising out of the movement of investment advisors from one dealer to another involving allegations of breach of fiduciary duty and breach of confidence
  • Takeover bid hearings and related mergers & acquisitions litigation before the B.C. Securities Commission
  • Corporate governance, including executive and director compensation and  disclosure obligations
  • Class actions on issues relating to prospectus and disclosure statement misrepresentation, common law misrepresentation and churning of brokerage accounts




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