Security Fraud Lawyers Serving Calgary, Alberta
A renewed interest by Western Canadian securities regulators has been taken to pursue criminal and quasi-criminal action against individuals and companies who may or may not be at fault of securities fraud. Leveraging both Canada’s Criminal Code and Securities Act, regulators have been poised to raise accusations of wrongdoing by individuals and firms.
You require the depth of experience that our Calgary criminal law firm can offer when managing the complexities of an investment fraud defense. It is imperative that you seek a thorough and trusted when such accusations involve multiple charges or repeat offenses.
Securities Fraud is Common in Alberta
Often spawning from sour financial management relationships, securities fraud charges in Alberta more often than not are related to the miscommunication between an advisor and a client. This miscommunication is often the result of an advisor’s lack of knowledge regarding their client’s needs and expectations – known as Know-Your-Client (KYC) rules of financial advice.
Are you facing any of the following charges? Our skilled team of investment , Alberta, have the experience, the resources, and the background to defend the variety of charges listed herein:
- Ignorance and negligence of KYC rules
- Improper KYC documentation
- Misrepresentation of financial data and investment risk
- Absence of informed consent
- Failure to meet annually with clients in accordance with IIROC
Facing Securities Fraud Charges?
Consult with our urgently if you are facing securities fraud charges or investment fraud charges. Under the Criminal Code of Canada, any charges of investment fraud (or investment scams) are complex, requiring the skilled background of Greg Dunn’s criminal law team. Call our criminal law office in Calgary, Alberta, if you seek the advice and guidance regarding your defense in any such fraud charges – 1-587-315-0666.