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Laura Paglia

Associée

Toronto
LPaglia@blg.com
416.367.6050

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Decades of specialized experience representing a broad range of institutional clients in the financial services and capital markets industries, such as Canadian and foreign banks, insurance companies, underwriters, investment dealers, exempt market dealers, and public and private issuers including investment fund managers.

Laura also represents:

  • individual professionals such as Chief Compliance Officers, Chief Executive Officers and Ultimate Designated Persons, research analysts, investment bankers, institutional traders, portfolio managers, investment and mutual fund advisors
  • Boards of Directors and/or their Special Committees

Laura’s practice is focused on the defence of high stakes, sensitive regulatory/white collar investigations, and proceedings and lawsuits brought against clients in respect of a wide spectrum of alleged securities law related breaches and professional negligence claims involving:

  • initial public offerings, secondary offerings and private placements in respect of allegations and issues related to disclosure, risk assessments, financial statements, and projections, accounting and audit functions and corporate governance
  • insider trading/tipping
  • sales incentives and other ‘soft dollar’ issues
  • supervision
  • director’s and officer’s liability
  • contested transactions

Laura regularly represents clients in the defence of lawsuits before trial and appellate courts and investigations conducted or proceedings brought by provincial securities commissions, the Investment Industry Regulatory Organization of Canada, the Mutual Fund Dealers Association of Canada, the Crown and federal criminal authorities.

Within BLG, Laura is the regional co-leader of our Securities Litigation & Regulatory Group.

Experience - Multi-Party/Class Action Lawsuits & Regulatory Proceedings

  • Bank owned and independent full service and discount investment dealers and their insurers in the defence of investigations and proceedings regarding the implementation of the Universal Market Integrity Rules, alternative trading systems and other trade desk issues, including deceptive and manipulative trading.
  • Bank owned, insurance owned, and independent investment dealers and exempt market dealers regarding suitability of retail investments and insurance products; varied allegations of misrepresentation, discretionary or unauthorized trading; new product offerings; and product due diligence.
  • Carrier and Prime Brokers in commercial arbitrations including disputes in respect of introducer/carrier broker and prime brokerage agreements.
  • Investment bankers and research analysts regarding in respect of insider trading and due diligence related allegations.
  • Investment Fund and Portfolio Managers in respective of disclosure, governance and soft dollar related allegations.

Experience - Ongoing Compliance & Risk Management

  • Advice related to unregistered and outside business activities by market participants, including Ponzi schemes, "pump and dump," anti-money laundering and other fraudulent schemes subject to quasi-criminal or criminal investigation.
  • Advice on all issues arising from both retail and institutional client complaints, including the involvement of the Ombudsman for Banking Services and Investments.
  • The conduct of internal review and investigations by financial institutions and other market participants regarding possible breaches.

Beyond our Walls

Professional Involvement

  • Member, Women in Capital Markets
  • Member, Securities Proceedings Advisory Committee, Ontario Securities Commission

Awards & Recognitions

  • Selected by peers for inclusion in the 2020 edition (and since 2013) of The Best Lawyers in Canada® (Corporate and Commercial Litigation).
  • Recognized in the 2018 edition (and since 2017) of Benchmark Canada - The Definitive Guide to Canada's Leading Litigation Firms & Attorneys as a "Local Litigation Star: Ontario".
  • Recognized as a 2019 Acritas Star.

Bar Admission & Education

  • Ontario, 1997
  • LLM, Université York, 2014
  • LLB, Université York, 1995