Insurance, Lending, and Finance Professionals in Ontario

If you’re a licensed insurance broker, mortgage agent, or financial advisor, your professional reputation is your greatest asset. Regulatory complaints, compliance investigations, or allegations of misconduct can jeopardize not only your license, but your livelihood. At Tamir Litigation, we offer strategic legal defence for professionals across Ontario’s financial services and lending sectors.  

We understand the complex web of regulatory bodies and professional standards that govern your work. We represent professionals regulated by:

• Financial Services Regulatory Authority of Ontario (FSRA)
• Canadian Investment Regulatory Organization (CIRO)
• Ontario Securities Commission (OSC)
• RIBO
• FINRA
• Other regulatory bodies

If you’re under investigation, facing a disciplinary hearing, or dealing with a licensing issue, we know how to guide you through it—and fight for a fair outcome. 

We defend a wide range of professionals, including:

• Insurance Brokers and Adjusters
• Mortgage Brokers and Agents
• Financial Advisors and Planners
• Investment Representatives and Wealth Managers
• Compliance Officers and Underwriters

Whether you’re part of a national institution or run an independent practice, your defence strategy needs to be as professional as you are.

• Misrepresentation or non-disclosure of financial products
• Conflicts of interest and breach of fiduciary duty
• Non-compliance with Know Your Client (KYC) or suitability requirements
• Advertising and marketing violations
• Failure to supervise or document transactions properly
• Licensing issues, audits, and practice reviews
• Unethical conduct or alleged fraud

Regulatory bodies often move swiftly and with broad investigative authority. A poorly worded response or missed deadline can turn a minor issue into a major one.