Defending a broker or agent in a regulatory proceeding
Representing a licensed insurance broker or agent in a discipline or licensing matter.
What is included
- Reviews the insurer's final response or the regulator's notice
- Explains which complaint body may hear the matter and what it can and cannot do
- Prepares a clear written complaint or response with supporting documents
- Represents a broker or agent in a regulatory investigation or hearing
- Advises whether a court claim is also needed to protect your rights
What is not included
- Court filing fees, reports and other disbursements
- Appeals or later stages beyond the scope in the lawyer's written retainer
- Claims against other people or companies unless added to the retainer
- Fees of appraisers, adjusters, contractors or engineers you hire
Who this service is for
- Policyholders who completed the insurer's complaint process and are still unhappy
- People concerned about how an insurer or adjuster handled their claim
- Insurance brokers and agents facing a regulatory proceeding
Information to have ready
- 1The policy and claim number
- 2The insurer's final position letter, if you have one
- 3All correspondence with the insurer, broker or regulator
- 4A short timeline of events
How a referral works
- 1Tell us in a few words what the matter is about, and who else is involved, so we can check for a conflict of interest.
- 2We recommend an Ontario lawyer for your matter, and at least one other you could choose instead.
- 3The lawyer runs their own conflict check, confirms the scope and quotes the fee, normally in a written retainer agreement.
- 4You pay the lawyer's fee to the lawyer. Any referral fee comes out of it, is disclosed to you in writing, and never increases what you pay.
NEO Legal Services Professional Corporation is a licensed paralegal firm, not a law firm. Every step of a referral, and your rights
Frequently asked questions
What does the lawyer charge?
Lawyers usually charge $400–$800/hr for this kind of work, by the hour. The lawyer quotes the actual rate and an estimate. You pay the lawyer directly; the referral itself costs you nothing.
Do I have to complain to the insurer first?
Usually yes. Insurers in Ontario have an internal complaint process, and an ombudservice generally expects you to complete it and receive a final position before it reviews the matter.
Can a complaint get my claim paid?
An ombudservice may make a recommendation, and the regulator can look at an insurer's conduct, but neither usually replaces a court claim. The lawyer can tell you whether to protect your right to sue at the same time.
General information only, not legal advice. NEO Legal Services Professional Corporation is a licensed paralegal firm regulated by the Law Society of Ontario.
Important limitations
- No outcome can be guaranteed
- Limitation periods keep running during a referral, so act promptly
- The lawyer confirms the scope, fee and steps in a written retainer before starting
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