Investment

Legal representation is essential when industry participants are engaged by regulatory enforcement agencies or have been accused of any type of investment misconduct.

Investment

Legal representation is essential when industry participants are engaged by regulatory enforcement agencies or have been accused of any type of investment misconduct.

Vancouver Investment Dealer Litigation Lawyers

Securities law is a specialized field, and individuals who are subject to regulatory investigation and sanction by the industry’s oversight bodies may lose their livelihood and suffer reputation damage and financial loss.

Given such risks, it is imperative to retain legal counsel in a timely fashion. Working with a lawyer who understands the unique nature of the regulatory environment of the securities industry is the key to obtaining the best possible outcome in a regulatory investigation or proceeding. Parties involved in securities litigation also require experienced legal counsel well-versed in this area of law.

Vancouver and Kelowna Regulatory Enforcement Lawyers Representing Industry Participants

The Kelowna and Vancouver investment dealer litigation lawyers at Eyford Macaulay Shaw & Padmanabhan LLP provide representation to people and firms involved in the securities industry. The firm handles claims involving a brokerage firm’s own clients, its investment advisors, and supervisory personnel. The firm’s legal team draws upon the experience of its commercial litigation lawyers, as well as its knowledge of securities law, to provide strong advocacy for clients in complex claims.

Experienced Securities Counsel Providing Effective Advocacy

The firm represents dealers and their investment advisors alleged to have engaged in misconduct, including:

  • Unsuitable investment strategies
  • Failure to supervise
  • Violation of securities laws
  • Breach of contract and negligence

The firm’s lawyers have also represented industry participants in investigations and regulatory proceedings commenced by the British Columbia Securities Commission and the Investment Industry Regulatory Organization of Canada.