Advisors who leave the industry to avoid investigations and hearings suffer more severe penalties
Sometimes your best approach is to refer your client to a lawyer or other professional
Don’t fall for clients’ demands for unsuitable investments
Court finds no breach when advisor didn't "sell in May and go away"
Understand how a settlement can unexpectedly affect you
Online chatter about a public company was defamatory, an Ontario court has ruled
The firm is alleged to have wrongfully dismissed two former advisors who were promoted to regional director roles
A B.C. court has ruled that a firm was justified in terminating the rep after he forged a client's signature
Litigation risk exists even after you’re retired or unable to work
Ellen Bessner, a litigation partner at Cassels Brock & Blackwell LLP, describes her experience with regulators when defending her clients. She says regulators ought to be more transparent with enforcement notices and share information with the advisors, dealers and issuers under investigation. She spoke with Gavin Adamson at the TMX Broadcast Centre in Toronto.
aHR0cHM6Ly93d3cuaW52ZXN0bWVudGV4ZWN1dGl2ZS5jb20vdGFnL2Fkdmlzb3JzLWFuZC10aGUtbGF3L3BhZ2UvNC8(U2NyZWVuSGVpZ2h0)NzIw(U2NyZWVuV2lkdGg)MTI4MA(T0ZTWVNfUmVmZXJyZXI)(dmlzaXRvcktleQ)aWFlWXdkWUs(dmlzaXRLZXk)UFZyM3ZTQ1Q){kind=small}