At Fogler, Rubinoff, we believe that making a difference begins with trust. Experience and sound judgment earn it. Client relationships are built on it. Results keep it.

Securities Litigation

OVERVIEW

Our litigators have wide ranging experience in securities and broker/dealer proceedings. We have extensive experience with the breadth of remedies that are sought in securities cases. We are able to creatively and persuasively present or defend such claims on behalf of our clients.

Our clients include brokers/dealers, individual investors, individual registrants and private and public companies. We also advise market participants in proceedings before securities commissions, stock exchanges, and self-regulatory organizations.

Our securities litigators have been involved in a variety of high-profile securities-related litigation matters, including:

  • corporate class action litigation involving security disclosure issues
  • class actions against securities dealers in connection with recommendations of their analysts
  • actions involving investment advisors including allegations regarding suitability, unauthorized discretionary trading, negligence, breach of contract and breaches of fiduciary duties
  • representation of various registrants in proceedings instituted by self-regulating organizations or provincial securities commissions
  • arbitrations brought under the Arbitration Program of the Investment Dealers Association of Canada
  • representation of management in hostile takeover bids
  • securities arbitration involving individual investors
  • litigation relating to registration and issuing of securities
  • corporate governance disputes
  • shareholder derivatives and similar actions for public companies
  • valuations and relating claims for private companies
  • injunctive and other proceedings relating to departing sales representatives including matters relating to allegations of breaches of fiduciary duties, confidentiality terms and/or restrictive covenants
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