Securities Litigation
Securities litigation often arises at moments of heightened risk for an investor or a business. Disclosure issues, market volatility, regulatory scrutiny, failed transactions, or allegations of misconduct can quickly give rise to complex claims involving issuers, directors and officers, investment funds, and other market participants. These matters frequently unfold alongside regulatory investigations and, increasingly, securities class actions.
Sotos LLP advises and represents clients in high‑stakes securities litigation across Canada. Our work is grounded in a practical understanding of capital markets, regulatory regimes, and the commercial realities faced by investors and issuers navigating securities‑related disputes.
How can we help you
We act in a broad range of securities litigation matters, including:
- Secondary market misrepresentation claims, including claims arising from alleged deficiencies in continuous disclosure obligations, financial restatements, short‑seller reports, and market announcements
- Investment loss litigation, including claims involving private equity, investment funds, structured products, and complex investment strategies
- Claims involving investment dealers, advisors, and registrants, including suitability, supervision, and compliance‑related disputes
- Parallel civil and regulatory proceedings, where litigation proceeds alongside regulatory investigations or enforcement actions
- Securities class actions, including claims under provincial securities legislation and related to statutory and common law causes of action
Our team regularly advises on strategy at the earliest stages of a dispute, where decisions about strategy, disclosure, timing, and forum can have a significant impact on outcomes.
Regulatory and Enforcement Proceedings
Securities litigation often intersects with regulatory oversight and enforcement. We regularly represent clients in matters involving securities regulators and self‑regulatory organisations, including investigations and enforcement proceedings.
We understand the practical and reputational considerations that accompany regulatory scrutiny and work closely with clients to navigate these matters strategically.
Securities Class Actions & Opt Out Litigation
Securities class actions raise unique strategic considerations, including certification risk, evidentiary burdens, damages methodology, and settlement dynamics.
Sotos has significant experience acting in complex class actions and brings that expertise directly to securities litigation matters. We advise clients on the intersection between securities claims and class action procedure, including how early litigation decisions may affect certification, settlement posture, and parallel proceedings.
We manage securities litigation with a clear focus on risk, efficiency, and resolution.
Investment Loss Litigation & Professional Liability
Investment loss litigation requires a deep understanding of capital markets, investment strategies, and the law of professional liability. These matters often involve overlapping regulatory prosecutions and may proceed in Court, by arbitration, or by other alternative dispute resolution forums.
We understand the nuances inherent to the subject matter and law in investment loss litigation as well as the benefits, and drawbacks to different approaches. We advise clients on these complexities to ensure that their interests are protected and objectives advanced.
Sotos approaches investment loss litigation with a client-centred approach and view toward the most expeditious and advantageous resolution.
We can also assist with:
- Secondary market misrepresentation claims
- Investment loss litigation
- Claims involving investment dealers and advisors
- Regulatory investigations and enforcement proceedings
- Arbitration and alternative dispute resolution in securities disputes
- Parallel civil and regulatory proceedings
- Professional liability claims in the investment context
- Opt-out and individual investor litigation
- Strategic advice in complex securities litigation
- Securities class actions
Our Approach
Securities litigation demands a disciplined and commercially informed approach. We focus on:
- Early assessment of claim merits as well as legal, financial, and reputational risk
- Clear, pragmatic litigation strategy tailored to the client’s objectives
- Managing cost, disruption, and uncertainty
- Coordinating across related proceedings and stakeholders
Who We Act For
We act for a wide range of clients in securities litigation matters, including:
- Institutional and individual investors
- Public and private companies
- Directors and officers
- Investment funds and asset managers
- Dealers, advisors, and other market participants
Meet your Key Contacts
Our securities litigation lawyers have deep experience advising clients through complex disputes, regulatory scrutiny, and class proceedings. Each of our Key Contacts would be pleased to discuss your matter and provide practical, strategic guidance. Please do not hesitate to reach out.
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