Since 2001, John Boddie has provided support to legal counsel and offered expert opinions in securities industry litigation matters and regulatory proceedings. Mr. Boddie has provided this litigation support to both plaintiffs and defendants/respondents.
Regulatory Proceedings
Mr. Boddie has provided support to legal counsel, publically listed companies, Registrants and individuals in regulatory proceedings before the Provincial Securities Commissions in:
His advice has related to potential Securities Act violations, UMIR violations and the practical application of current market practises.
In addition, he has prepared formal submissions to the BCSC and the OSC on the behalf of clients. The topics included potential Insider Trading violations and securities trading misconduct.
Mr. Boddie has also provided advice to US counsel with respect to securities frauds alleged by the Securities and Exchange Commission ("SEC") in the United States.
Civil Litigation
Mr. Boddie has been involved in securities civil litigation in Ontario, Saskatchewan, Alberta, and BC. The topics of these actions have included Contempt of Court through the unauthorized liquidation of securities, broker misconduct including suitability, "churning" and illegal distribution of securities. In these matters Mr. Boddie has prepared more than 20 Expert Reports. All of these matters settled prior to trial.
Mr. Boddie has also been involved in US and cross-border (Canada/US) litigation. In these matters he has authored Expert Reports with respect to Money Laundering and securities financing procedures. One of these matters settled and the other is currently pending.
Criminal Matters
Mr. Boddie has provided litigation support with respect to securities related criminal charges in both the Canada and the US. The Canadian matter was resolved with a "Stay of Proceedings" and the US matter with a reduction of charges.
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