Professional Discipline In The Financial Sector

In the intensely competitive environment of finance, the pressure to perform can easily mount. Over time, some licensed individuals struggle to maintain their balance and eventually find themselves lapsing into questionable activity. When allegations of misconduct arise, the consequences of a guilty charge can be devastating — professionally and personally.

Neuberger & Partners LLP has extensive experience with the financial industry’s various self-governing bodies. We can provide strategic guidance to help you face a regulatory investigation and safeguard what you have at risk.

Wide-Ranging Defence In The Financial Sector

Our lawyers have worked on numerous disciplinary cases in Toronto and beyond. We have successfully represented financial professionals who have risked losing their licensing and careers in a variety of capacities, including:

• Stockbrokers
• Investment dealers
• Financial planners
• Accountants
• Insurance agents
• Mortgage advisors

Some are strictly involved in matters that contravene their licensing body’s standards of conduct. Others cases progress to criminal charges involving fraud and financial crimes. Others find themselves facing civil lawsuits for financial compensation. In all three scenarios, our lawyers have the capacity to provide strategic legal representation.

Comprehensive Case Preparation — The Foundation Of Our Success

As a premium law firm, our lawyers recognize that the most effective defence comprises more than legal knowledge. Alongside their criminal law practice, some on our legal team also have business and financial acumen. Such complementary perspectives equip us to generate defence strategies with greater insight and effectiveness.

With meticulous factual and legal analysis, we are able to dissect the issues, build the strength of our case and identify weaknesses on the opposing side. We also work with a network of experts such as forensic accountants to provide specialized analysis witness testimony. By bringing together a variety of resources, we build cases designed to withstand the strength of the allegations. Our aim is to provide the defence you need to emerge with your reputation and professional opportunities intact.

Gain Early Intervention With A Legal Professional

Whether you are currently under investigation or sense the risk of one impending, acting expediently puts you in the best position to protect yourself. Once retained, our lawyers can interact directly with regulatory bodies on your behalf. Call 416-364-3111 or contact us online to arrange a meeting.

Past results are not necessarily indicative of future results and that the amount recovered and other litigation outcomes will vary according to the facts in individual cases.