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.
Why Work With Us:
Extensive experience in regulatory defence
Focused advocacy tailored to your specific profession and risk exposure
Discreet, strategic legal support from start to finish
Track record of results defending professionals across Ontario
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.
Skilled Legal Defence in a Regulated Industry
We understand the complex web of regulatory bodies and professional standards that govern your work. We represent professionals regulated by:
Who We Help:
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.
Common Allegations We Defend:
- 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
Our Legal Services Include:
Early response to complaints and audits
Regulatory and compliance advice
Representation during investigations and interviews
Defence at formal disciplinary or licensing hearings
Negotiation of penalties and settlement outcomes
Reinstatement applications or appeals
Industry Insights:
