Securities investigations

Securities prosecutions are becoming more common and more prominent in the courts. Such cases are technical, and require a specialized knowledge of the securities régime.

Mr. Saulnier has represented clients at the BC and Alberta Securities Commissions when they face prosecution. Mr. Saulnier recently travelled to the United States to cross-examine the man behind an alleged cross-border Ponzi scheme said to be in the tens of millions of dollars, to advance a client’s defence. The defence of fraud and securities charges is specialized, and often requires knowledge of the distinctive and at times complex world of securities legislation and procedure.

The Securities Commission in particular has unique and often strict rules. For example, during securities investigations, the commission can issue subpoenas and force suspects to attend for interviews. These interviews can be used against you. If you receive a subpoena and do not attend for the interview, you risk being charged. However, we can and will attend with you. Anyone who is a potential suspect or even a witness in a securities investigation should strongly consider consulting with a lawyer at Martland & Saulnier.