Secure your peace of mind today!
JAMES A. BROWN is an investor advocate interested in the advancement of capital formation in Ontario's capital markets. Mr. Brown has a right of appearance in the Ontario Superior Court of Justice along with the Ontario Court of Appeal and has appeared on precedent cases reported by Westlaw and CanLii.
Mr. Brown received his B.A. from McMaster University and obtained his law degree from the University of Buckingham in the United Kingdom graduating with First Class Honours. Mr. Brown is in the process of completing his L.L.M. with a specialization in Securities Law at Osgoode Hall Law School.
Mr. Brown has been called to the Ontario Bar since 2011.
We will represent you in investigations and enforcement proceedings brought by the Ontario Securities Commission along with the Canadian Investment Regulatory Organization (CIRO), and Canadian aspects of proceedings before the Securities and Exchange Commission in the United States of America.
We have assisted and advised on registration applications for firms and individuals under National Instrument 31-103. We will attend with you at the offices of the Ontario Securities Commission and prepare you for the interview process. We have encountered potential applicants with past disciplinary problems and assisted them on becoming re-registered without terms and conditions.
We are willing to advance primary and secondary market misrepresentation and omission claims on your behalf. We will analyze prospectus and other offering documents to assert your rights for a statutory cause of action under the Securities Act. We also represent shareholders who purchased securities in the exempt market.
Whether you are looking to do a term sheet offering or an Offering Memorandum we are here to assist you. Raising capital can be a stressful process. We will identify your objectives and ensure that money raised in the exempt market is compliant with Securities Law.
We can help you become registered as a portfolio manager, investment fund manager and exempt market dealer. Services include manuals, agreements and individual registrations. We also can assist with CIRO registrations.
Preparation for audits, review of previous audit findings and assistance with remediating deficiencies, live support during audit, including assisting with audit response letters
8 Main Street East, Hamilton, Ontario L8N 1E8, Canada
Tel: 905-577-9099 Fax:1-866-281-3274 Email: james@jblegalservices.ca
Mon | 09:00 a.m. – 05:00 p.m. | |
Tue | 09:00 a.m. – 05:00 p.m. | |
Wed | 09:00 a.m. – 05:00 p.m. | |
Thu | 09:00 a.m. – 05:00 p.m. | |
Fri | 09:00 a.m. – 05:00 p.m. | |
Sat | Closed | |
Sun | Closed |
Copyright © 2024 James A. Brown Securities Law - All Rights Reserved.
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