About Advisor at Risk

Advisor at Risk is a comprehensive resource for taking control of risk and securing good business. It is a best practices must-read for anyone in the investment and resource industries who wants to avoid becoming the target of client complaints, regulatory investigations, litigation proceedings and damaging press releases.

Author Ellen Bessner takes an in-depth look at risks to advisors and provides practical, easy-to-follow strategies. Drawing on 20 years of first-hand experience, she stresses the importance, for example, of knowing your client and managing their expectations while maintaining a solid paper trail should a dispute emerge.

Who Should Read This Book

IIROC/MFDA/Insurance

• Licensed and unlicensed individuals working in investment or insurance industries
• Branch Managers/Supervisors
• Licensed and unlicensed Assistants supporting Advisors or Agents
• Rookies

Pricing

Retail Book Price Per Unit: $34.95

Available at Chapters/Indigo  www.chapters.indigo.ca

Corporate Volume Pricing

Prices do not include applicable taxes or shipping and handling.

To order Advisor at Risk, please contact:

Ellen Bessner
Tel: 647.725.2606
ebessner@babinbessnerspry.com

or order online at www.chaptersindigo.ca.

(read more)                                       (read more)

Cynthia Spry joined the partnership at Babin Bessner Spry LLP in 2010. Prior to joining Babin Bessner Spry LLP, Cynthia practiced in the litigation departments of two top-tier firms: Davies Ward Phillips & Vineberg LLP and Osler, Hoskin & Harcourt LLP.

Cynthia practices commercial litigation, including in the areas of class actions, shareholder disputes, competition law, and contractual and securities litigation. She is often recommended as conflicts counsel by Seven Sister firms, and has been qualified as an expert on Canadian law (shareholder disputes) in foreign proceedings.

Cynthia appears before all levels of court in Ontario, including the Court of Appeal and the Commercial List of the Superior Court of Justice. She also appears before a number of administrative tribunals, including the Ontario Securities Commission and the Competition Tribunal.

Cynthia is a former chair of the Commercial Practice Group of The Advocates’ Society, is a member of its 10+ Standing Committee of the Board of Directors, and is a regular panelist at its continuing legal education programs. She also volunteers as Duty Counsel at Law Society Discipline Committee Hearings, and is a former member of the Ontario Securities Commission Litigation Assistance Project.

Cynthia is ranked by The Canadian Legal Lexpert® Directory for both Commercial and Securities Litigation and has been recognized as a litigation star by Benchmark Litigation.

Cynthia’s experience includes acting for:

• A multibillion-dollar Canadian telecommunications company regarding several false advertising claims, including a number of injunction applications.
• A major Canadian retailer in connection with international anti-trust class action proceedings dealing with credit card interchange fees charged by Visa, MasterCard, and others.
• A major telecommunications company in connection with numerous arbitrations pursuant to a commercial arbitration agreement with another major telecommunications provider involving allegations of false advertising.
• One of North America's largest investors, owners and managers of commercial real estate regarding alleged environmental violations.
• A large accounting partnership regarding a claim by a departing partner for goodwill in the partnership.
• An international solar company in an arbitration regarding alleged deficiencies in certain projects, and an application by the solar company to enforce the arbitral award granted in its favour.
• A number of former public sector employees in claims against their financial and legal advisors arising out of the promotion of tax shelters and the mismanagement of pension funds.
• A Canadian trust company regarding a claim for an oppression remedy and wrongful dismissal.
• An individual involved in alleged cross-border auto parts price-fixing.
• An app developer regarding claims against Canada's largest circulation newspaper for breach of contract, breaches of the Copyright Act, breaches of the Trade-Marks Act, false and misleading representations made in breach of the Competition Act and damages for injurious falsehood.
• A director regarding allegations by a public company that he breached his duties to the company and for an oppression remedy.
• Various individuals claiming negligence and breach of fiduciary duty by lawyers.

PRESENTATIONS

• Speaker, Shareholder Disputes and the Closely-Held Company 2021 (Osgoode Professional Development,March 31, 2021)
• Instructor, Motions Advocacy - Skills Workshop (The Advocates’ Society, March 9, 2021)
• Interviewer, Insight on the Reference re: the Genetic Non-Discrimination Act, Friends Who Argue Podcast (March 2021)
• Moderator, Top Commercial Litigation Cases of 2020 (The Advocates’ Society, February 25, 2021)
• Speaker, Evening with the Commercial Bench (The Advocates’ Society, January 21, 2021)
• Facilitator, Modern Advocacy Town Hall (The Advocates’ Society, January 18, 2021)
• Speaker, Leading Your Case: Opening Statements and Examination-in-chief (The Advocates’ Society, December 8, 2020)
• Speaker, Credibility for Litigators program (The Advocates’ Society, November 10, 2020)
• Instructor, Remote Skills Workshop: Motions Advocacy (The Advocates’ Society, August 27, 2020)
• Speaker, Top Tips for Bringing and Opposing Summary Judgment Motions, (The Advocates’ Society May 28, 2020)
• Speaker, Your First Civil Trial (Ontario Bar Association March 6, 2020)
• Moderator, Top Commercial Litigation Cases of 2019 (The Advocates’ Society, February 15, 2020)
• Facilitator, Business Development for Women and Allies (The Advocates' Society, November 28, 2019)
• Speaker, Credibility for Litigators (The Advocates' Society, November 22, 2019)
• Speaker, ADR Advocacy: Advanced Techniques (The Advocates' Society, November 1, 2019)
• Instructor, 40th Intensive Trial Advocacy Workshop (Osgoode Professional Development, July 2019)
• Instructor, 39th Intensive Trial Advocacy Workshop (Osgoode Professional Development, July 2018)
• Speaker, Privilege: A Litigator's Guide (The Advocates' Society, June 12, 2018) 
• Instructor, 38th Intensive Trial Advocacy Workshop (Osgoode Professional Development, July 2017)
• Speaker, Vancouver Ethics Breakfast (Financial Planners Standards Council, November 25, 2016) 
• Speaker, Toronto Ethics Breakfast (Financial Planners Standards Council, November 23, 2016) 
• Speaker, Evidence for Litigators (The Advocates’ Society, November 21, 2016)
• Speaker, 2016 Securities Symposium (The Advocates’ Society, September 12, 2016)
• Speaker, Negotiation Strategies for Litigators (The Advocates’ Society, April 25, 2016)
• Moderator, Commercial Women’s Breakfast (The Advocates’ Society, April 1, 2016)
• Speaker, Top Commercial Cases of 2015 (The Advocates’ Society, March 1, 2016)
• Speaker, Top Commercial Cases of 2014 (The Advocates’ Society, February 26, 2015)
• Speaker, Leading Commercial Litigation Cases of 2012 (The Advocates’ Society, February 20, 2013)

PUBLICATIONS

• "Technology and the Law: Ontario Court of Appeal Confirms Parties Cannot Record Proceedings without Court Order", Babin Bessner Spry Blog, 30 April 2019
• "Claims Against Individual Directors and Officers of Fortress Struck Without Leave to Amend", Babin Bessner Spry Blog, 6 February 2019
• "Corporation Formed to Claim Oppression Not a “Complainant” under section 250(e) of the CNCA", Babin Bessner Spry Blog, 18 October 2018. 
• "Complainant Witness Granted Intervenor Status at Wrongful Dismissal Trial", Babin Bessner Spry Blog, 8 October 2018
• "The Supreme Court’s Conflicting Reasons on Conflicts of Law", Babin Bessner Spry Blog, 27 August 2018.
• "Ontario Court of Appeal Reiterates that Ontario Contract Provides Basis for Jurisdiction, Even Where Defendant Not Necessarily a Counterparty", Babin Bessner Spry Blog, 23 July 2018.
• "The Duty of Good Faith Performance: an Unfettered Right to Terminate is Not Unfettered", Babin Bessner Spry Blog, 8 June 2018
• "Is Expert Evidence No Longer Necessary in Investor Loss Cases?", Babin Bessner Spry Blog, 25 April 2018
• "Court of Appeal Finds Claim of Solicitor’s Negligence Not Appropriate for Summary Judgment", Babin Bessner Spry Blog, 27 February 2018
• Cynthia Spry, Julia Webster and Morgan Westgate, “Appellate Court Treatment of Bhasin v. Hrynew: Developing the Duty of Good Faith in 2016” (August 2016), Commercial & Business Litigation Journal Vol. 1:1, The Canadian Institute.
• "Injunctions in Misleading Advertising Cases" (2011) 24:1 Canadian Competition Law Review 69 (co-authored)
• "Ontario Court of Appeal Strikes Claims Against Directors of Junior Mining Company: Insufficient Facts Pled to Ground Personal Duty of Care" (2011) 25: 4 Corporate Liability 98 (co-authored)

Professional Affiliations:

• Law Society of Upper Canada
• Canadian Bar Association
• The Advocates’ Society
• Toronto Lawyers Association

Bar Admission:

• Ontario, 2006

Education:

• Queen’s University, LL.B., 2005
• Guelph University, B.A. (Hons., English Literature), 2001