Alan P. Gardner

Specialization: Securities and Commercial Litigation

Focus: Regulatory Investigations

Alan P. Gardner is a seasoned practitioner with extensive experience in securities and commercial litigation. He has a particular focus on regulatory investigations, representing a diverse client base that includes investment banks, broker-dealers, technology companies, resource companies, manufacturers, and public company board members, senior management, and Special Committees engaged in regulatory investigations or shareholder litigation.

Alan provides expert counsel in conducting internal investigations, especially in matters involving the Corruption of Foreign Public Officials Act (CFPOA), and is skilled in managing related agency inquiries. His expertise is frequently sought to represent boards, board committees, and individual board members of public companies during regulatory investigations and related litigation. Additionally, Alan advises multiple financial institutions in proceedings with the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC).

Recognized as a leading advocate in high-stakes securities and regulatory matters, Alan is ranked by Chambers Canada for his work in Ontario Securities, White Collar Crime, and Government Investigations. He is also recommended by The Legal 500 Canada in the area of Dispute Resolution, underscoring his reputation as a trusted legal expert.

Year of Call to Bar: 1999 (Ontario); 2003 (New York)

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