Ellen Bessner

Ellen Bessner

Ellen is a litigation partner whose practice focuses on acting for corporations in commercial litigation, professional liability and employment disputes. She has developed a special niche representing investment dealers, mutual fund dealers, Portfolio Managers, compliance officers, branch managers/supervisors, and advisors in Ontario courts of all levels and at various regulatory tribunals, including IIROC, MFDA, OSC and FSCO. Ellen has been recognized by the MFDA as an independent consultant for testing and reporting purposes and has also been retained by software suppliers to support design efforts to reduce company risk.

Ellen’s well-regarded book, Advisor at Risk, a Roadmap to Protecting Your Business, available at Chapters/Indigo, is considered a leading risk-reduction tool in the area. Ellen is also co-author of The TASK – The Trusted Advisor’s Survival Kit. In addition, Ellen has developed comprehensive programs to instruct advisors/agents/traders and their supervisors in reducing litigation and regulatory risk, presenting on liability, ethics and compliance. Her courses qualify for continuing education credits.

She is a frequent speaker at industry conferences, writes for national, business and industry press, has appeared in television media interviews and is quoted in numerous publications on issues related to litigation, regulatory and employment matters.

Representative Work

Ellen represents employers in wrongful dismissal matters as well as supports companies with terminations and the negotiation of contractual terms and conditions. Successfully defended a $6,000,000 claim at trial and at the Court of Appeal for wrongful dismissal and other claims: David Samuel Solomon v. Levesque Securities Inc. [1997] O.J. No. 3733 (C.A). She also represents clients at the Human Rights Tribunal concerning allegations of discrimination.

Ellen regularly represents companies and securities dealers before the regulators: OSC, IIROC (IDA, RS) and FSCO, including but not limited to:

  • Represented branch manager in Market Regulation Services (RS) matter in which his supervision was in question. RS found against the branch manager but ordered that he not be penalized or suspended for the alleged infraction
  • Represented branch manager at the IDA whose licence was suspended and was able to successfully contest the suspension to reinstate his license
  • Represented advisors in regard to allegations by the MFDA that advisors were engaging in outside business activities
  • Represented mutual fund dealers in class action proceedings and settled the matter before the class action was certified
  • Represented securities dealers in matters in which several clients commenced proceedings alleging unsuitable investments and unsuitable strategies including leverage loans
  • Represented limited market dealers at the OSC in regard to issues of suitability
  • Represented dually licensed advisor in FSCO penalty hearing in which staff sought a suspension and limited suspension was ordered

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Ellen’s Resources

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Advisors At Risk

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Advisors At Risk
$34.95

About Company


  • Toronto-based law firm of more than 200 lawyers focused on serving the transaction, advocacy and advisory needs of Canada’s most dynamic business sectors.

  • Emphasis on core practice areas of corporate and commercial law, mergers and acquisitions, securities and corporate finance, tax, intellectual property, real estate and international business.

  • One of the largest business law practices in Canada, serving mid-market, national and multinational entities and dedicated to value-driven public and private merger, acquisition and divestiture work.
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How to Contact Ellen

You’re welcome to contact Ellen in any of the following ways:

 

Main 416 . 860 . 6514 Mail Cassels Brock
Fax 416 . 642 . 7159   2100 Scotia Plaza, 40 King Street West
Toronto, ON, Canada
M5H 3C2

 

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