• About
  • Offices
  • Careers
  • News
  • Students
  • Alumni
  • Payments
  • FR
Bennett Jones Logo Bennett Jones Logo
  • People
  • Expertise
  • Knowledge
  • Search
  • FR Menu
  • Search Mobile
A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
View all
Practices
Corporate Litigation Regulatory Tax View all
Industries
Capital Projects Energy Funds & Finance Mining View all
Advisory
Crisis & Risk Management ESG Strategy and Solutions Governmental Affairs & Public Policy
View Client Work
International Experience
Insights News Events
New Energy Economy Series Business Law Talks Podcast Economic Outlook
ESG & the CIO Subscribe
People
Practices
Industries
Advisory Services
Client Work
About
Offices
News
Careers
Insights
Law Students
Events
Search
Alumni
Payments
Subscribe

Stay informed on the latest business and legal insights and events.

LinkedIn LinkedIn Twitter Twitter Vimeo Vimeo
 

Alan P. Gardner

Partner

Partner | Email

T: 416.777.6231

Email

Toronto

Download vCard
Download PDF
Gardner Alan
 
  • Recent Experience
  • Recent Recognition
  • Insights, News & Events
  • Related Services

T: 416.777.6231


Email

Toronto

Download vCard
Download PDF
  • Education
  • Bar Admissions
  • Recent Experience
  • Recent Recognition
  • Insights, News & Events
  • Related Services
  • Recent Experience
  • Recent Recognition
  • Insights, News & Events
  • Related Services

Practising in the areas of securities and commercial litigation, with a focus on securities and other regulatory investigations, Alan Gardner represents clients that include investment banks, broker-dealers, technology companies, resource companies and manufacturers, as well as Board members, senior management and Special Committees of public companies involved in regulatory investigations or shareholder litigation. Alan is also frequently engaged to assist in the conduct of internal investigations in connection with inquires related to the Corruption of Foreign Public Officials Act (CFPOA), and in the management of related agency investigations.

What Clients Say

He is "comfortable in high-pressure environments" and is "at his best in dealing with complex circumstances, skeptical regulators and stressed directors."

While Alan was with Cadwalader Wickersham & Taft LLP in New York (2001-2005), he conducted numerous internal investigations, including representing CIBC World Markets in connection with market timing and late-trading investigations conducted by the United States Securities & Exchange Commission and New York Attorney General Elliot Spitzer, including assisting in the settlement of those matters. While at Cadwalader, he also acted for Bear Stearns in connection with the McKesson litigation in the Northern District of California, where he was admitted pro hac vice. In addition, Alan continues to represent Lipper Holdings, LLC, the general partner of a group of convertible arbitrage investment funds founded by Kenneth Lipper, a Former Deputy Mayor to Mayor Ed Koch. He has substantial experience both before the New York courts, and before arbitration panels of the Financial Industry Regulatory Authority.

Since returning to Canada, Alan has continued to represent financial institutions and market participants in connection with regulatory investigations and before the courts. In that regard, he has represented BlackBerry in connection with several regulatory investigations, including a settlement with the OSC in connection with historical stock options dating practices. Often in connection with regulatory inquiries, Alan is frequently engaged to provide corporate governance advice and recommendations to conform with best practices. He has been retained numerous times to represent boards, board committees and board members of public companies in connection with regulatory investigations and related litigation. Alan also represents multiple financial institutions in connection with Mutual Fund Dealers Association (MFDA) and Investment Industry Regulatory Organization of Canada (IIROC) investigations and proceedings.

Education

Carleton University, BComm, 1993 University of Ottawa, LLB, 1997 

Bar Admissions

Ontario, 1999 New York, 2003 Southern and Eastern Districts of New York, 2003 

Recent Experience

Field Trip Health Ltd., in the spin-out of its drug development and medical clinics businesses into two independent public companies, Reunion Neuroscience and Field Trip Health & Wellness, by plan of arrangement.  The spin-out transaction was supported by a private placement financing led by Oasis Management Company.
48North Cannabis Corp. in its $50-million acquisition by HEXO Corp. 
Harvest Health & Recreation Inc., in the US $2.1-billion sale of all of its issued and outstanding shares to Trulieve Cannabis Corp. by way of a court approved statutory plan of arrangement.
48North Cannabis Corp. in its $50-million acquisition by HEXO Corp.
Cresco Labs, in its US$207-million acquisition of Bluma Wellness Inc. a vertically integrated operator in Florida.
Katanga Mining Limited, in its $7.6-billion rights offering financing backstopped by Glencore to fund debt repayment to Glencore.
Cresco Labs, in its $1.1-billion acquisition of Origin House, the largest public company acquisition in the history of the U.S. cannabis sector.
Katanga Mining Limited, in the review by Katanga’s Independent Directors of certain of Katanga’s historical accounting practices, and in connection with the restatement of the Katanga’s previously filed financial statements arising from the review. Katanga is a publicly traded company whose majority shareholder is Glencore, one of the world’s largest mining companies.
Katanga Mining Limited, in its settlement agreement with the Ontario Securities Commission following an investigation by staff of the Ontario Securities Commission into certain of Katanga’s historical public disclosures. Katanga is a publicly traded company whose majority shareholder is Glencore, one of the world’s largest mining companies.
Katanga Mining Limited, in the US$5.6 billion recapitalization plan initiated by its parent Glencore PLC, pursuant to which Katanga issued US$5.6 billion in equity to retire debt owed to its copper-cobalt joint venture partner, the Democratic Republic of Congo state-owned Gécamines, in order to resolve all disputes arising from an action brought by Gécamines in the DRC to dissolve joint venture operating company owned by Katanga (75%) and Gécamines (25%).
SFC Litigation Trust, in a successful 15 week trial against the former CEO of Sino-Forest Corporation, Allen Chan, resulting in a judgment in fraud and breach of fiduciary duty of US$2.6 billion.
Crocodile Gold Corp., (TSX) in its combination with Newmarket Gold Inc. (TSXV) pursuant to a court approved plan of arrangement for approximately $185 million.
Special Committee of Central GoldTrust, in Sprott Asset Management's $1-billion hostile takeover bid for all the outstanding Units of Central GoldTrust on a Net Asset Value to Net Asset Value basis.
Special Committee of Silver Bullion Trust, in Sprott Asset Management's $62-million hostile takeover bid for all the outstanding Units of Silver Bullion Trust on a Net Asset Value to Net Asset Value basis.
Audit Committee of Penn West Petroleum Ltd., in a management-initiated, voluntary review of certain accounting practices, and in connection with the restatement of the company's previously filed financial statements arising from the review.
Special Committee of Research In Motion Limited, in the company's management initiated voluntary review of stock options granting practices and in connection with the company's settlements with the Ontario Securities Commission and the U.S. Securities and Exchange Commission.
Research In Motion Limited and the Special Committee of Research In Motion Limited, in the defence and resolution of shareholder claims arising from the company's management initiated voluntary review of stock options granting practices.
Senior bondholders of Stelco Inc., in proceedings under the Companies' Creditors Arrangement Act.
Senior bondholders of Stelco, in a successful claim, through the enforcement of subordination rights, to entitlement of the $90 million in “turnover proceeds” designated under Stelco's CCAA plan.
Noteholders of Ivaco Rolling Mills and Ifastgroupe (steel), in their $75-million note debt in restructuring/liquidation proceedings under the Companies' Creditors Arrangement Act.

Recent Recognition

Chambers Canada
Ranked, Litigation: Securities – Ontario
Ranked, White Collar Crime & Government Investigations
The Legal 500 Canada
Recommended, Dispute Resolution
The Canadian Legal Lexpert Directory
Consistently Recommended, Litigation – Securities
Repeatedly Recommended, Class Actions
Benchmark Litigation: Canada
Recognized as a Litigation Star
Best Lawyers in Canada
Recognized for Corporate and Commercial Litigation Law
Global Investigations Review 100
Recognized as a Prominent Investigation Practitioner - GIR 100
Lexpert/Report on Business Special Edition - Canada's Leading Litigation Lawyers
Recognized as a leading Litigation lawyer in Canada
Lexpert Special Edition on Agribusiness & Cannabis
Recognized as one of Canada's leading lawyers in Agribusiness and Cannabis

Insights, News & Events

Articles

A Canadian Perspective on Global Investigations Around the World

January 23, 2023
       

Client Work

Field Trip Closes Spin-Out of Drug Development and Clinics Businesses Under Plan of Arrangement

August 24, 2022
       

Announcements

Bennett Jones Highly Recommended in Benchmark Canada 2022

April 28, 2022
       

Related Services

Anti-Corruption Investigations & Compliance
Commercial Litigation
Securities Litigation
Shareholder Activism & Critical Situations
Class Action Litigation
ESG Strategy and Solutions
Fintech
International Trade & Investment
Bennett Jones Centennial Footer
Bennett Jones Centennial Footer
About
  • Leadership
  • Diversity
  • Community
  • Innovation
  • Security
  • History
Offices
  • Calgary
  • Edmonton
  • Montréal
  • Ottawa
  • Toronto
  • Vancouver
  • New York
Connect
  • Insights
  • News
  • Events
  • Careers
  • Students
  • Alumni
Subscribe

Stay informed on the latest business and legal insights and events.

LinkedIn LinkedIn Twitter Twitter Vimeo Vimeo
© Bennett Jones LLP 2023. All rights reserved.
  • Privacy Policy
  • Disclaimer
  • Terms of Use
Logo Bennett Jones