FINANCIAL PROFESSIONALS

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 reach us by email 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.

CONTACT INFORMATION

1392 Eglinton Avenue West
Toronto, ON M6C 2E4
Fax (416) 364-3271

COVID-19 UPDATE

On behalf of Neuberger & Partners LLP posted in COVID-19 on Tuesday March 17, 2020.

At Neuberger and Partners, we are monitoring the COVID-19 situation and have implemented safety measures to ensure the safety of our clients and staff. Our priority is and always will be the health, well-being and safety of our staff, clients and colleagues.

We have put in place various measures to prevent and minimize the impact of COVID-19:

  • In addition to standard hand-washing habits, our staff are washing hands before and after every client interaction;
  • All individuals entering our office will be required to use our hand sanitizer to ensure the safety of our other clients and staff;
  • Regular disinfecting of our offices, public areas, meeting rooms and board rooms as well as increasing the frequency of disinfection of higher-traffic surface areas;
  • If a lawyer or client who has a scheduled meeting is feeling unwell, they will be strongly encouraged to stay home;
  • For the time being, we will avoid greeting clients and colleagues with our usual handshakes;
  • We will make every effort to ensure our firm will be stocked up with extra tissue and alcohol-based hand sanitizer; and
  • We will monitor and stay informed from the Government of Canada and World Health Organization for facts as they become available. We will ensure all staff and team members are educated on symptoms and are well informed on prevention and best practices.

Frequently Asked Questions:

Will the firm still run if there are closures?

  • We are committed to assisting our clients. We remain open to assist our clients at this time (following aforementioned standards for health and safety). For clients who wish to communicate with our firm virtually, we have the technology for virtual meetings and are able to respond to the needs of our clients in a manner best to protect our staff and clients’ health.

Are staff and lawyers set up to work virtually?

  • All lawyers and staff are set up to work virtually and continue to assist clients and one another remotely. All lawyers are available via telephone, email and virtual video conferencing.

What is the court situation? How will we deal with court closures?

  • At this time, the Superior Court of Justice is closed from March 17, 2020 to June 1, 2020 – unless a judge orders otherwise.
    If you have a March matter, your matter will be postponed to June 2, 2020.
    April matters will be postponed to June 3, 2020 and May matters will be pushed to June 4, 2020.
  • Similarly, the Ontario Court of Justice will be closed for 10 weeks for all out of custody matters in criminal practice court. In custody matters will still be addressed. It is unclear if out of custody matters such as trials or preliminary hearings will continue since the courts have left this decision to the discretion of the judges. However, Bail courts will remain open for the time being.
  • The Court of Appeal for Ontario has suspended all scheduled appeals until April 3, 2020. But we are still able to file materials and apply for urgent appeals to be heard.
  • We will advise clients by email of their next Court date.

How can payments be made?

  • Payments can be made via e-transfer and visa payments can be made over the phone.

If I have to deliver something to my lawyer, how shall I go about it?

  • For clients who wish to drop off documents but do not wish to come in contact with any one at the firm, you are encouraged to drop them off in our mail slot in front of our office.

We will be open and available for any questions, comments or concerns. Please call (416) 364-3111 for any further information.

Stay safe and healthy,

Joseph Neuberger