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	<title>The Litigator - Affleck Greene McMurtry, LLP &#187; advisor</title>
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		<title>Statements to Securities Commission are protected by absolute privilege</title>
		<link>http://www.thelitigator.ca/2009/12/statements-to-securities-commission-are-protected-by-absolute-privilege/</link>
		<comments>http://www.thelitigator.ca/2009/12/statements-to-securities-commission-are-protected-by-absolute-privilege/#comments</comments>
		<pubDate>Wed, 02 Dec 2009 05:06:45 +0000</pubDate>
		<dc:creator>Kenneth Dekker</dc:creator>
				<category><![CDATA[Attacks on Reputation]]></category>
		<category><![CDATA[Commercial Litigation]]></category>
		<category><![CDATA[Securities Litigation]]></category>
		<category><![CDATA[absolute privilege]]></category>
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		<category><![CDATA[defamatory]]></category>
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		<category><![CDATA[Fraleigh]]></category>
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		<category><![CDATA[investment dealer]]></category>
		<category><![CDATA[libel]]></category>
		<category><![CDATA[MFDA]]></category>
		<category><![CDATA[mutual fund dealer]]></category>
		<category><![CDATA[Newbould]]></category>
		<category><![CDATA[Ontario]]></category>
		<category><![CDATA[OSC]]></category>
		<category><![CDATA[qualified privilege]]></category>
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		<category><![CDATA[RBC]]></category>
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		<category><![CDATA[salesperson]]></category>
		<category><![CDATA[securities]]></category>
		<category><![CDATA[slander]]></category>
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		<guid isPermaLink="false">http://www.thelitigator.ca/?p=515</guid>
		<description><![CDATA[In his decision this Fall in Fraleigh v. RBC Dominion Securities, Ontario Superior Court Justice Newbould summarily dismissed an action brought by John Fraleigh against RBC Dominion Securities and one of its employees. The action was brought for allegedly false statements and testimony given before the Ontario Securities Commission claiming unusual trading activity in his RBC trading accounts – information that was later published in media reports. In dismissing Fraleigh’s action, Justice Newbould found that the claim arose entirely from testimony and other related communications to the OSC; communications that are protected by absolute privilege.]]></description>
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		<title>Whose book of business is it, anyway? Confusion reigns on &#8216;ownership&#8217; of investment firm client lists</title>
		<link>http://www.thelitigator.ca/2007/11/whose-book-of-business-is-it-anyway-confusion-reigns-on-ownership-of-investment-firm-client-lists/</link>
		<comments>http://www.thelitigator.ca/2007/11/whose-book-of-business-is-it-anyway-confusion-reigns-on-ownership-of-investment-firm-client-lists/#comments</comments>
		<pubDate>Thu, 22 Nov 2007 21:10:52 +0000</pubDate>
		<dc:creator>Kenneth Dekker</dc:creator>
				<category><![CDATA[Commercial Litigation]]></category>
		<category><![CDATA[Employment Litigation]]></category>
		<category><![CDATA[advisor]]></category>
		<category><![CDATA[assets]]></category>
		<category><![CDATA[BMO]]></category>
		<category><![CDATA[book of business]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[brokerage]]></category>
		<category><![CDATA[client]]></category>
		<category><![CDATA[clients]]></category>
		<category><![CDATA[competition]]></category>
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		<category><![CDATA[customer]]></category>
		<category><![CDATA[damages]]></category>
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		<category><![CDATA[employment]]></category>
		<category><![CDATA[firm]]></category>
		<category><![CDATA[Inglis]]></category>
		<category><![CDATA[investment]]></category>
		<category><![CDATA[King]]></category>
		<category><![CDATA[Merrill Lynch]]></category>
		<category><![CDATA[Nesbitt]]></category>
		<category><![CDATA[Ontario Superior Court]]></category>
		<category><![CDATA[retirement]]></category>
		<category><![CDATA[sale]]></category>
		<category><![CDATA[securities]]></category>
		<category><![CDATA[solicitation]]></category>
		<category><![CDATA[TD]]></category>

		<guid isPermaLink="false">http://www.thelitigator.ca/?p=211</guid>
		<description><![CDATA[There are few, if any, legal issues affecting the investment industry that are more cloudy and less certain than whether investment firm clients belong to the investment advisor or to the investment firm. And there are arguably few issues more important. This question has been the subject of several widely divergent – and even confusing - court decisions on the issue over the past few years.]]></description>
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		<title>Lenders not liable for failing funds</title>
		<link>http://www.thelitigator.ca/2006/11/lenders-not-liable-for-failing-funds/</link>
		<comments>http://www.thelitigator.ca/2006/11/lenders-not-liable-for-failing-funds/#comments</comments>
		<pubDate>Sun, 19 Nov 2006 19:09:34 +0000</pubDate>
		<dc:creator>Kyle Peterson</dc:creator>
				<category><![CDATA[Banking Litigation]]></category>
		<category><![CDATA[Commercial Litigation]]></category>
		<category><![CDATA[Securities Litigation]]></category>
		<category><![CDATA[advisor]]></category>
		<category><![CDATA[banks]]></category>
		<category><![CDATA[broker]]></category>
		<category><![CDATA[brokerage]]></category>
		<category><![CDATA[creditors]]></category>
		<category><![CDATA[fiduciary]]></category>
		<category><![CDATA[IDA]]></category>
		<category><![CDATA[investment]]></category>
		<category><![CDATA[lenders]]></category>
		<category><![CDATA[lending]]></category>
		<category><![CDATA[margin]]></category>
		<category><![CDATA[OSC]]></category>
		<category><![CDATA[registered representative]]></category>
		<category><![CDATA[regulatory requirements]]></category>
		<category><![CDATA[undermargin]]></category>

		<guid isPermaLink="false">http://www.thelitigator.ca/?p=282</guid>
		<description><![CDATA[If investors borrow money to invest in mutual funds, and the funds do not perform up to expectations, are the lending financial institutions on the hook? This question was the subject of the recent Court of Appeal decision in Baldwin et al. v. Daubrey et al.]]></description>
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