Investment Compensation Claim

There are several grounds which can result in a successful professional negligence compensation claim against an independent financial adviser (IFA) or a financial Broker. Here are some examples

Was The Financial Product Suitable For You?

Your Independent Financial Adviser  or financial broker should have made sure that this investment was suitable for you after consideration of your financial circumstances at the time and your attitude to risk. Listed below are some of the reasons why the investment may not have been suitable for you which may indicate professional negligence:-

• The broker has said the investment was guaranteed to increase in value and make a good return.
• The broker or financial consultant did not discuss other more suitable options for investment with you.
• The broker didn’t explain how your money would be invested and explain the risks involved.
• The broker didn’t explain that the particular investment would give a poor early return.
• The broker didn’t check you were comfortable with the risks of stock market investment.
• In appropriate cases the broker should have explained that performance depends on the stock market.
• Misleading information may have been given in order to persuade you to invest.

Failure To Follow The Regulators Code Of Practice

These are some of the reasons why the investment may not have followed the financial regulators rules:-

• The broker didn’t explain any fees and charges and how they affect the return you get on your investment.
• The broker did not advise you of a contrary or conflicting interest.
• The broker took negligent advice from another on behalf of his client.
• Failure to provide a document detailing fees and charges.
• The broker didn’t complete a fact-find.
• Failure to consider the effect of the investor’s retirement.
• Churning insurance policies to generate commission

Types of investments

• Savings Plans
• PEPs
• ISAs
• Life Policies for Inheritance Tax
• Pension Mortgages
• Income Protection Plans
• Lump Sum Investment
• Share dealings
• Equity Release Plans

Terms & Conditions

We work on a no win no fee basis with no upfront cost to you. If we are successful in recovering any losses we charge a fee of 25% of any monies recovered.