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Results: 1-10 of 16

Walton v Alberta (Securities Commission)

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • September 3 2014

On August 29, 2014, the Alberta Court of Appeal released its decision in Walton v Alberta(Securities Commission), 2014 ABCA 723 ("Walton"). The

Allegations of insider trading in Baffinland dismissed

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • August 28 2014

A panel of the Ontario Securities Commission (“OSC”) has dismissed allegations against Jowdat Waheed and Bruce Walter of insider trading, tipping and

Alberta insider trading cases

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • August 20 2014

The July 8 2014 acquittal of Rengam Rajaratnam in New York District Court ended a long streak of insider trading convictions in that jurisdiction

Re: Haggerty, 2014 ABASC 237

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • July 7 2014

This case affirms that a hunch or suspicion held by an insider does not rise to the level of "material" information upon which one is precluded from

Conrad Black et al unsuccessfully moved to have misconduct case stayed

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • July 7 2014

On June 16, 2014, the OSC refused Mr. Black's motion to stay his OSC proceedings by holding that the proceedings in Canada were simply held in

Inter-jurisdictional sanctions imposed

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • July 7 2014

In 2012, The British Columbia Securities Commission (“BCSC”) found that two traders, Frederick Lawrence Mitschele (“Mitschele”) and Michael Wallace

Misappropriation

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • March 7 2014

The British Columbia Securities Commission found Jefferson Franklin Mesidor liable for fraud and issued an order to pay $75,000 and to permanently bar

White collar securities proceedings

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • February 4 2014

On January 14, 2014, the OSC levied significant penalties against two individuals it had concluded were guilty of a so-called “corporate hijacking”

Insider trading better safe than sorry

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • May 7 2013

A series of recent Alberta Securities Commission decisions recently underscored the inherent dangers of buying or selling securities of companies in

Not a winning defence to say ‘we didn’t really mean it when we said we were honest'

  • Borden Ladner Gervais LLP
  • -
  • USA
  • -
  • August 8 2012

But Goldman Sachs tried it anyway in Richman v Goldman Sachs, 2012 US Dist LEXIS 86556 (SDNY, 21 June 2012), a class action over alleged failures of disclosure in the marketing of collateralised debt obligations (CDOs