Join Matindale-Hubbell Connected



Search Results (2288)

  
Documents on alternative dispute resolution
 

View Page: Prev  1  2  3  4  5  6  7  8  9  10  Next  >>
Show: results per page
Sort by:
Sponsored Results

HTMLNot so much “Know Your Client” as “Ignore Your Client”
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
Following a contested hearing on the merits, on January 5, 2015, IIROC fined Grant Patrick Matthews (the “Respondent”) $200,000, plus costs of $20,000 and imposed a 5 year prohibition on registration. This was as a result of suitability infractions in respect of 4 clients from January...

 

HTMLUnsuitability for Physician of Leveraged ETFs.
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
In December 2014, IIROC released a settlement agreement with Paul Milot (the “Respondent”). The settlement arose from one complaint by a 48 year old physician with investment objectives of 60% to 90% growth and 20% high risk. She earned $65,000 to $85,000 per year with net holdings of...

 

HTMLGuidance on Underwriting Due Diligence
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
On December 18, 2014, IIROC published its long anticipated Guidance Respecting Underwriting Due Diligence (“Guidance”). The new Guidance has been in force since its publication.

 

HTMLFines Imposed for Inappropriate DSC Charges
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
Following an uncontested hearing on the merits, on January 23, 2015, IIROC fined Paul Christopher Darrigo (the “Respondent”) $60,000 representing a disgorgement of commissions of $50,000 plus an additional fine of $10,000 due to his improper sales of mutual funds with deferred sales...

 

HTMLRevised Sanction Guidelines
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
On January 13, 2015 IIROC released its Revised Sanction Guidelines (“Guidelines”) effective February 2, 2015. The Guidelines consolidate and replace all previous versions of both the Dealer Member Disciplinary Sanction Guidelines and the UMIR Disciplinary Sanction Guidelines into one...

 

HTMLProviding Alberta Securities Commission Investigation Materials SEC Does Not Violate the Charter
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
On January 22, 2015, the Alberta Court of Queen’s Bench determined in Beaudette v Alberta (SecuritiesCommission), 2015 ABQB 57, that providing information gathered by the Alberta Securities Commission (“ASC”) during the course of their investigation to foreign agencies does not...

 

HTMLFact Witnesses As Experts: Westerhof v Gee Estate, 2015 ONCA 206
Ewa Krajewska; Borden Ladner Gervais LLP;
Legal Form
April 9, 2015, previously published on April 3, 2015
In Westerhof v Gee Estate, the Ontario Court of Appeal decided that participant experts and non-party experts may give opinion evidence without complying with Rule 53.03. In other words, a fact witness who is considered an expert may give opinion evidence without filing an expert report or...

 

HTMLCourt Fee increases from Monday
Miles Robinson, Kate Wilson; Mayer Brown International LLP;
Legal Alert/Article
April 7, 2015, previously published on March 5, 2015
In January 2015, the Government announced a dramatic increase in the fee for issuing Court proceedings in money claims worth £10,000 or more. Following Parliamentary approval on 4 March, the new fees will come into force on 9 March. Until now, the highest issue fee for a money claim has been...

 

HTMLIGAD to Establish International Arbitration Center in Djibouti
Thomas R. Snider; Greenberg Traurig, LLP;
Legal Alert/Article
April 7, 2015, previously published on March 10, 2015
The Intergovernmental Authority on Development (IGAD), which consists of member states Djibouti, Eritrea, Ethiopia, Kenya, Somalia, South Sudan, Sudan, and Uganda, will establish an international arbitration center in Djibouti focused on resolving business disputes in the region. The decision to...

 

HTMLOnline Dispute Resolution is Not Science Fiction, Says Advisory Group
Robert E. Collier-Wright; Greenberg Traurig Maher LLP;
Legal Alert/Article
April 7, 2015, previously published on March 12, 2015
The Online Dispute Resolution (ODR) Advisory Group of the Civil Justice Council, a group established on 25 April 2014 and led by Professor Richard Susskind (IT Advisor to the Lord Chief Justice), has proposed radical changes to the court system of England and Wales, including the introduction of a...

 


View Page: Prev  1  2  3  4  5  6  7  8  9  10  Next  >>