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.