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.

Broker/Dealer Litigation


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

We have represented investment dealers, mutual fund dealers, registered representatives, salespersons, compliance professionals and other market participants.

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

  • 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
  • representation in hostile take-over bids
  • securities arbitration involving individual investors
  • 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
  • employment related matters arising from the financial services sector

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.


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