Securities Dealers and Tradespeople Defence Lawyer

Protect Your Practice, Reputation, and Career

Specialized Legal Representation for Securities Dealers and Professionals

If you are a securities dealer, mutual fund dealer, or investment advisor under investigation by the Ontario Securities Commission (OSC) or the Canadian Investment Regulatory Organization (CIRO), having skilled legal counsel is critical to safeguarding your reputation and career.

At Aouchiche Law Firm (ALF), we provide expert representation to financial professionals facing regulatory claims, investigations, and enforcement actions. Our experienced securities lawyers work tirelessly to protect your interests, minimize financial and reputational damage, and guide you through complex legal challenges.

How Can We Help You

We represent securities dealers, mutual fund dealers, and investment advisors in a variety of regulatory matters, including:

Investigations: Representation during investigations conducted by the OSC, CIRO, or the Joint Serious Offences Team (JSOT).
Regulatory Proceedings: Defence in proceedings and litigation initiated by the OSC or CIRO.
Prosecutions: Representation in prosecutions brought by the OSC in the Ontario Provincial Court of Justice.
Opportunities to be Heard: Advocacy in hearings before Directors making registration decisions under the OSC framework.
Appeals and Judicial Reviews: Challenging unfavorable rulings through appeals and judicial reviews.
Licensing and Registration Advice: Guidance on registration, licensing, and employment-related regulatory matters.

Why Choose ALF?

Proven Results: We have a strong track record of achieving favorable outcomes for regulated professionals.
Respected Advocacy: Our written and oral advocacy is highly regarded across tribunals and courts.
Competitive Fees: We provide top-tier representation at reasonable rates.

If you are facing allegations or investigations by the OSC or CIRO, it’s crucial to act quickly. By working with an experienced defense lawyer from the outset, you can protect your practice, reputation, and livelihood.

Get in touch with us today to schedule a confidential consultation. Whether in-person, by phone, or virtually, the ALF team is here to guide you through this challenging process with expertise and dedication.

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