Posner Craig Stein assists professionals in navigating complaints, investigations, and all licensing issues. We have significant experience in dealing with regulators and ensuring our clients’ reputations remain intact. Any allegation of professional misconduct is a serious matter, and we treat your defence with care, attention, and focus. Our approach to defending your case regarding professional regulatory law is sophisticated and detailed.

Posner Craig Stein assists professionals in navigating complex regulatory environments. We deal with billing and payment issues, hospital privileges, sexual misconduct, allegations of fraud, privacy concerns, allegations of professional misconduct, investigations, and any other regulatory or disciplinary matters. We vigorously defend your reputation and livelihood. Our team understands that placing your case in our hands is a serious decision, and the outcome has real consequences for you.

We defend health care professionals of all types. We defend physicians, dentists, nurses, pharmacists, veterinarians, optometrists, audiologists, acupuncturists, massage therapists, chiropractors, psychologists, occupational therapists, denturists, psychotherapists, opticians, naturopaths, respiratory therapists, podiatrists and chiropodists, physiotherapists, dietitians, medical technologists, midwives, dental technologists, kinesiologists, and any other health care professional.

Our team of Toronto professional regulation lawyers defends all regulated professionals. This includes but is not limited to lawyers, paralegals, accountants, real estate professionals, mortgage agents and brokers, engineers, social workers, and insurance agents and brokers. Our regulatory defence lawyers also assist with liquor licensing, cannabis licensing, securities commission licensing and offences, and commercial trucking licenses.

Regulatory organizations and licensing bodies provide rules governing the actions of professionals such as doctors (College of Physicians and Surgeons), dentists (Royal College of Dental Surgeons), pharmacists (College of Pharmacists), lawyers (Law Society of Ontario), insurance brokers (Registered Insurance Brokers of Ontario) and other professionals in Canada. A regulatory body that receives a complaint against a professional has an obligation to investigate. If rule-breaking occurred, the regulatory body can order punishments, including stripping a professional of her/his license.  Powerful strategic advice and advocacy at this stage can be critical to the professional whose career may be on the line.

If someone makes a complaint about a professional to their College, the College can order an investigation. Each College or regulatory body has its own rules and procedures. Depending on the regulatory/discipline body and the facts of a given case, the punishments might include:

• Substantial Fines and Tribunal Cost Orders;
• Remedial work (including educational and/or rehabilitation programs);
• Suspension of the professional’s licence for a period of time; or
• Revocation/Cancellation of the professional’s license

A professional disciplinary proceeding can dramatically impact someone’s career. These cases often turn on minute details, and a mistake that seems minor may prove professionally catastrophic. When a complaint is filed against a member of a professional body, s/he needs an experienced professional regulation lawyer who can evaluate their case and gather information to protect them.

In some cases, professional disciplinary proceedings are linked to criminal charges. When a professional is charged with a criminal offence, there is usually an obligation on the professional to report this to his or her regulatory body.  A criminal conviction may lead to a discipline hearing with significant and sometimes severe consequences.  Posner, Craig, Stein’s experience in defending criminal and professional regulatory cases distinguishes us from our peers.  We have unique insight into the intersection of criminal and regulatory proceedings.  That insight can be invaluable to professionals who find themselves in the crosshairs of the criminal justice system.  By hiring and working with an experienced lawyer, a professional under investigation has a greater chance of avoiding being charged.

Investigations by Colleges and other regulatory agencies are unique legal matters, and we receive many questions about these cases. Here are the answers to some of the questions we get most often:

Why am I under investigation by my professional regulatory agency?

If someone lodges a complaint against you or the agency suspects you’ve committed misconduct, the College or regulatory body initiates an investigation. Regulatory bodies have a duty to ensure all members uphold the profession’s integrity. The fact there an investigation takes place does not mean you’re automatically guilty. The College/regulatory body uses a methodical process to find the truth and ensure accountability. The goal is to maintain the public’s trust in the profession and ensure every practitioner follows the rules.

Do I really need a lawyer for a professional disciplinary proceeding?

Professional disciplinary proceedings can be complicated, so we recommend that anyone under investigation hire a lawyer. Without legal training, it’s easy to overlook key details or inadvertently harm your case when you represent yourself. A professional regulations lawyer has the knowledge and experience to manage critical details and present their case accurately and effectively. A lawyer can also help you understand your rights, the possible outcomes, and some strategies that could help protect your interests.

What can I expect during the investigation?

A professional regulatory investigation is a structured process that may involve interviews, document reviews, and the collection of other evidence. The investigators may request access to your finances or your client or patient records. Your professional College may ask you to provide written responses to their questions or to appear in person for an interview. A lawyer can help prepare you for these steps, ensuring you know how best to respond. It’s possible that well-crafted answers to the College’s questions could show that the complaint is unfounded and make a disciplinary hearing unnecessary.

What punishments can a College hand down?

If a professional regulatory agency finds someone acted inappropriately, the penalties could include:

• Reprimands;
• Fines and Costs Orders;
• Mandatory education courses and/or rehabilitation programs;
• Suspension of registration for a period of time (days to months);
• License revocation/cancellation

However, not every investigation results in penalties. The disciplinary committee’s goal is not to punish someone but rather to maintain the profession’s high standards and protect the public.

How long will the investigation take?

The timeline in these cases can be unpredictable, as it depends on the case’s complexity, the number of parties involved, and how much investigation is required. Some cases may wrap up in a few months, while others could take over a year. It’s crucial to remember that a thorough investigation is in everyone’s best interest and helps maintain a fair and just process.

How will this impact my career in the long run?

The long-term impact of a regulatory investigation depends on the severity of the allegations, the disciplinary committee’s final decision, and how you handle the situation. If the College finds the complaint was valid, the worst case is that you could lose your professional license. If the investigation shows that the complaint was baseless, your career can go on as before.

If your profession’s regulatory body is investigating you, stay calm and remember that you don’t have to face this proceeding alone. An investigation is not proof of your guilt, and you can counter allegations of misconduct or other unprofessional behavior. Our Toronto professional regulations lawyers can help with your case by:

• Explaining the rules and procedures of the investigation, along with the potential penalties
• Gathering evidence to support your claim and refute allegations against you
• Handling any paperwork or other technical matters related to your case
• Representing you in legal proceedings and attending the hearings with you
• Helping you avoid potential criminal charges as a result of the investigation
• Handling appeals before the Divisional Court, Ontario Court of Appeal, or Supreme Court of Canada