Financial professionals, including accountants, brokers, mutual fund advisors, financial planners, insurance representatives, and others are obligated to act in the best interests of their clients and only recommend products or investments that are suitable in terms of each client’s personal circumstances, tolerance for risk, and overall assets. Where clients believe this has not occurred, the financial professional in question could be subject to a claim against them.
If you are a finance professional and a client has filed a complaint against you, or if you are facing an investigation or discipline hearing, you should consult with a lawyer who has a deep and thorough understanding of professional liability and who has significant litigation and trial experience. Professional discipline processes come with their own sets of rules and procedures that require a focused skill set to navigate. At Milosevic Fiske LLP, our Toronto professional misconduct lawyers are intimately familiar with discipline processes across a number of professions and have successfully represented many financial professionals.
If you are an investment advisor, clients or members of the public can file a claim against you for a variety of reasons, including:
All such allegations can result in significant liability and serious consequences, including fines, limitations on the scope of your advice, a suspension or revocation of your license, or even criminal charges.
The highly-experienced professional liability lawyers at Milosevic Fiske LLP represent investment advisors in claims of professional negligence and other misconduct, including liability for breach of contract and fraud.
We have developed a reputation for professionalism and integrity that benefits our clients. We are committed to the highest standards of ethics and professional courtesy towards the courts, our clients, opposing counsel, and all other relevant parties.
If you are an investment advisor, or other financial professional facing a complaint, an investigation, or a disciplinary hearing, contact the highly knowledgeable Toronto professional liability lawyers at Milosevic Fiske LLP. Our goal is to protect you, your reputation, and your ability to work in your field. Call us at 416-916-1387 or contact us online.
Phone: (416) 916-1387