Securities Litigation

Overview

Miller Thomson’s Securities Litigation Group defends individuals and companies in investigations and prosecutions of securities offences including fraud, insider trading, illegal distributions and trading without registration. As counsel with extensive experience on high profile cases, we understand how critical it is to work with our clients to mitigate business and reputational harm. Many of our lawyers are former Assistant Crown Attorneys and/or prosecutors with the OSC or other provincial securities regulators, IIROC and the MFDA. Our team develops strategies that successfully navigate parallel regulatory, criminal and civil proceedings including class actions and criminal charges in other jurisdictions, such as the United States and the United Kingdom.

Our services include:

Advising Boards of Directors of Public Companies

  • Conducting special or independent committee investigations
  • M&A and take-over bid litigation

Regulatory and Criminal

  • Investigations into breaches of provincial securities legislation and securities offences under the Criminal Code, including cease trade orders, freeze directions and orders, orders authorizing disclosure of compelled evidence & reciprocal orders.
  • Defence and prosecution of insider trading, trading without registration, illegal distributions, prohibited statements, misrepresentation, fraud and market manipulation.
  • Representation of reporting issuers, their officers and directors, investment dealers, brokers, and employees facing potential liability for failure to meet their professional duties.
  • Representation of investment dealers and advisors in proceedings for professional misconduct including breaches of IIROC and MFDA requirements.

Civil

  • Defence of negligence actions against investment dealers and advisors including for unauthorized trading, unsuitable investment recommendations and misrepresentation.
  • Defence of civil actions against public companies and officers and directors for misleading statements including misrepresentations and material non-disclosure.
  • Shareholder litigation including oppression and breach of contract claims.
  • Class actions relating to prospectus and continuous disclosure obligations, negligence, fraud.

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