Securities Litigation

Farris lawyers strive to be as proactive as possible because getting in front of an issue helps our clients achieve their business goals sooner.

Our approach is to work closely with our clients and solicitors in the planning stage of transactions to avoid disputes or matters originating from regulatory non-compliance.

When disputes have occurred, our litigators have represented public and private companies and investors of all types in numerous high-profile and precedent-setting shareholder disputes, including takeover bids, proxy battles and oppression actions. We also act in numerous plans of arrangement both contested and uncontested.

Our litigators regularly appear before the courts and the provincial securities commissions across Canada and are involved in complaints made to other regulatory bodies, such as stock exchanges in connection with contested transactions. We have acted for and against investors and brokerage firms with respect to investments, including disputes involving inter-jurisdictional issues.

Our lawyers regularly advise and represent clients regarding compliance with the registration requirements under securities legislation. We deal with regulators in the securities industry, including provincial securities commission, stock exchanges and the Investment Industry Regulatory Organization of Canada. This involvement occurs at various stages including regulatory approval for mergers and acquisitions, ongoing reporting issuer obligations, investigations and enforcement proceedings.

In connection with investigations and enforcement matters, our litigators have acted in matters involving insider trading, illegal distributions, market manipulation, discretionary trading, suitability matters and fraud. They also assist in sensitive and complex internal investigations, including whistleblower complaints.