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.
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.
- Crocodile Gold Corp. (TSX) in connection with its combination with
Newmarket Gold Inc. (TSXV) pursuant to a court approved plan of
arrangement for approximately $185 million.
- Representation of
the Special Committee of Central GoldTrust in connection with 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
- Representation of the Special Committee of Silver Bullion Trust in
connection with 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
2016, The Canadian Legal Lexpert Directory
Alan P. Gardner, repeatedly recommended, Litigation - Securities
2016, Legal Media Groups Benchmark Litigation
Alan P. Gardner, recognized as a litigation star in Canada for Securities
2015, Legal Media Groups Benchmark Canada
Alan P. Gardner, recognized as a Local Litigation Star in Ontario. The recognition is awarded to individuals who were recommended consistently as reputable and effective litigators by clients and peers
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