Securities Defence Case Comments

Lawyers from our Securities Defence Litigation Practice break down notable securities cases and give you the facts, findings and takeaways.

Case Comments: Our lawyers break down notable securities cases and give you the facts, findings and takeaways. Read our most recent comment by clicking here.

Limitation Periods in Investment Losses: Rotzang v. CIBC World Markets Inc.

When does a limitation period begin for an investment loss claim where the client continues to have an account with an investment firm but receives no advice and does no trading in that account?

“Off-book” Investments: Mulley v Lewis

When is a securities dealer vicariously liable for the misconduct of an employee broker relating to “off-book” investments?

Employee “Profit Sharing” Plans: Manastersky v Royal Bank of Canada et al.

Is an employer required to compensate a dismissed employee for lost opportunity to earn “profit sharing” during a termination notice period?

OSC, on appeal from IIROC, in the matter of Lucy Marie Pariak-Lukic

The OSC overturned an IIROC sanction decision, imposing its own more onerous sanctions, thus signaling that IIROC should be imposing tougher sanctions even when unintentional wrongdoing is in issue.

Marlin Investments v. Canaccord

This case addresses the “know your client” standard in the context of KYC forms; off-setting investment gains to reduce losses in damage quantification; and contributory negligence of a vulnerable (geriatric) client, all in the context of the market crash of 2008.

IIROC v. Canaccord Genuity Settlement Agreement

What is the extent of retail branch and head office supervision?

Securities Defence Litigation Practice
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