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Alan P. Gardner

Partner

Partner |

T: 416.777.6231

Toronto

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

T: 416.777.6231


Toronto

  • 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

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
Repeatedly recommended, Litigation - Securities
Benchmark Litigation: Canada
Recognized as a Litigation Star
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

Blog

Important New Guidance from the Court of Appeal on TSX Majority Voting Rules, Reasonable Expectations in Oppression Claims and Contractual Set-Off

March 11, 2021
       

Announcements

40 Bennett Jones Lawyers in Lexpert's Special Edition on Litigation

November 27, 2020
       

Blog

Ontario Divisional Court Applies Vavilov to Appeals from Ontario Securities Commission

October 06, 2020
       

Announcements

Bennett Jones is Recognized in Chambers Canada 2021

September 10, 2020
       

Announcements

21 Bennett Jones Lawyers in Lexpert's Agribusiness and Cannabis 2020

June 11, 2020
       

Blog

Ontario Court of Appeal Opens the Door to ETF Securities Class Actions

June 09, 2020
       

Blog

Ontario Court of Appeal Adopts a Broad Definition of What Constitutes a “Security”

April 14, 2020
       

Announcements

Bennett Jones: Canada’s Leading Litigation Lawyers

November 29, 2019
       

Announcements

Bennett Jones' Leading Lawyers in Chambers Canada 2020

September 19, 2019
       

Announcements

Bennett Jones—Lexpert’s Leading Canadian Litigation Lawyers

November 30, 2018
       

Blog

Don’t Short the Truth

October 24, 2018
       

Blog

US$2.6-Billion Fraud Judgment Awarded Against Former Sino-Forest CEO

April 16, 2018
       

Updates

The United States Supreme Court Narrows Whistleblower Protections Under Dodd-Frank

February 26, 2018
       

Articles

Insider Trading and Tipping: Ontario Court of Appeal Sets Boundaries for Those in a "Special Relationship"

February 2018
       

Blog

Insider Trading and Tipping: Ontario Court of Appeal Sets Boundaries for Those in a "Special Relationship"

January 31, 2018
       

Blog

Blockchain, Cryptocurrencies and ICOs: No Signs of Investors “HODL”ing Their Litigation Claims*

January 30, 2018
       

Announcements

Bennett Jones Litigation Lawyers—Lexpert’s Canadian Leaders

November 24, 2017
       

Announcements

Bennett Jones US/Canada Cross-Border Litigation Lawyers—Canadian Leaders

November 24, 2017
       

Announcements

Bennett Jones Selected to 2017 GIR 100

October 27, 2017
       

In the News

Alan Gardner on Corporate Wrongdoing in Canadian Lawyer InHouse

September 09, 2016
       

Blog

U.S. DOJ Announces Pilot Project For Self-Reporting Foreign Corruption Violations - Will Canada Follow Suit?

April 15, 2016
       

Related Services

Anti-Corruption Investigations & Compliance
Commercial Litigation
Securities Litigation
Shareholder Activism & Critical Situations
Class Action Litigation
ESG Law (Environmental, Social, Governance)
Fintech & Blockchain
International Trade & Investment

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