Broker/Dealer Disputes

Toronto Commercial Litigation Boutique for Securities Broker and Dealer Disputes

Investment advisors, securities brokers, and dealers are all legally required to provide accurate information to their clients, and to ensure the securities sold to their clients are suitable for those clients. When these professionals fail to do so, there can be serious financial repercussions. Victims of misrepresentation, securities fraud, and professional negligence on the part of their advisors need experienced legal advice from a lawyer that understands complex financial disputes and securities law, and who can quickly help resolve the problem.

Financial Litigation is a boutique Toronto law firm with a unique focus on financial and business litigation. We exclusively advise clients about the legal and financial implications of a business dispute and are dedicated to handling their matters with an eye to protecting their financial well-being.

What are the grounds for a claim against a securities broker or dealer?

Clients often make their personal risk appetite clear to their investment advisors. In any transaction or professional relationship, securities brokers and dealers have certain duties and obligations with respect to their principal, including adhering to their instructions and preferences regarding risk. Failure to execute their duties with the appropriate level of professional skill may give rise to legal liability.

At Financial Litigation, we can advise clients about potential claims arising from:

  • Fraud or misrepresentation;
  • Breach of contract;
  • Negligence;
  • Breach of fiduciary duty;
  • Failure to supervise;
  • Churning;
  • Discretionary trading; or
  • Lack of suitability.

Dedicated securities litigators advising individuals in broker and dealer claims

Where a broker or dealer’s actions have resulted in a financial loss, a principal may have grounds for a legal claim to recover financial damages. Eli Karp has an extensive background handling securities disputes, and brings a deep understanding of the relevant obligations and duties that may have been breached by a broker or dealer. With broad financial litigation experience, we work with our clients to develop an understanding of their individual goals, and build a legal strategy that reflects their financial best interests.

Responsive and insightful securities litigation advice when you need it 

Financial Litigation provides clients with timely and responsive legal advice whenever it is needed. We are available seven days a week to answer questions and ensure that nothing gets overlooked. To schedule a consultation, contact us online or by calling 416-769-4107 x1