Rod is Associate Counsel with Harper Grey and his practice focuses on securities related litigation.
Rod’s client base includes brokers, brokerage firms, executives, professionals, directors and officers of private and public companies, shareholders and other business people with legal matters involving capital markets.
Clients count on Rod to represent them before the BC Securities Commission, TSX Venture Exchange, the Investment Industry Regulatory Organization of Canada (IIROC) and all levels of court. He also has a significant cross-border practice which involves dealing with US counsel and securities regulators.
Rod is known for representing clients in securities related matters that require administrative, civil litigation and criminal defence expertise.
Rod grew up in Prince George, BC. He has played ice hockey competitively since his youth and is an avid fisherman, responsible for the demise of many large chinook salmon.
Commercial and Securities Litigation Disputes
- Corporate reorganization and governance disputes
- Oppression remedies
- Plans of arrangement
- Directors and officers liability
- Shareholder disputes
- Negligent and fraudulent misrepresentation claims
- Cases for and against private and public issuers, their directors and officers
Professional Regulation
- Disciplinary proceedings before administrative tribunals including the BC Securities Commission and IIROC, such as investigations, audits and hearings
- Issuer and investment dealer disclosure and liability
- Insider trading
- Market manipulation
- Illegal distributions
- Multilateral Assistance Treaty Act (MLAT ) issues
- Regulatory and compliance issues
- Director and officer “acceptability” issues raised by the TSX Venture Exchange
- Advice and assistance for Canadians subjected to U.S. Securities and Exchange Commission investigations and proceedings
Criminal Defence
- White collar crime – allegations of misrepresentation and/or fraud
- Defence of criminal charges relating to civil suits
Education
- University of British Columbia, LL. B., 1979
- University of British Columbia, B.A., 1976
Bar Admission
- British Columbia, 1980
Leadership
- Harper Grey Securities Regulation & Litigation Group, Chair
