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Our dedicated team advises on litigation, regulatory, risk management and related matters for stockbrokers, wealth managers and IFAs.
Our team advises stockbrokers, fund managers, wealth managers and IFAs who increasingly have to deal with contentious matters, including FSA investigations, claims before the Financial Ombudsman Service and other litigation. Our clients include a diverse range of investment banks, trust companies, and corporate and private client financial services professionals.
We have extensive experience in litigation and FSA enforcement work, and we represent clients in challenging FSA rejection of approval for firms and individuals, and advise on regulatory investigations of all types.
Our professional practice team includes very experienced regulatory and dispute resolution lawyers.
Financial services professionals are under constant pressure to deliver increased value on the assets they manage. Recently, there has also been increasing public, legal and regulatory scrutiny and the industry has experienced greater uncertainty.
Advising on a claim against a solicitor for breach of duty and breach of fiduciary duty. The claim raised significant issues regarding scope of duty, conflict of interest and causation in addition to a number of policy issues which also arose
Advising brokers on a substantial negligence claim for failing to advise correctly on cover required
Advising a solicitors firm on breach of breach of duty and scope of duty. The firm allegedly failed to carry our adequate due diligence around transactions which led to the client being defrauded by a substantial amount
Advising a London law firm on a claim related to advice given on a high value property acquisition
Advising a top tier, international law firm against a complex professional negligence case relating to legal opinions provided to their client. This matter included cross-border disputes and multi-jurisdictional advice
Defending a claim again a UK office of an international firm relating to advice involving a corporate transaction
Acting in a multi-million claim brought against a Jersey-based firm of solicitors acting as trustee in a family trust which was the subject of a dispute between settlor and beneficiaries
Acting for a magic circle law firm in relation to a complex negligence claim (EUR 60 million) arising out of the restructuring of a pan-European motor distribution network
Acting for an international law firm in a professional negligence claim relating to contract advice they had provided
Representing a law firm in a claim relating to allegations of negligence around the handling of litigation defence work
Advising on a claim against a solicitor for breach of duty and breach of fiduciary duty. The claim raised significant issues regarding scope of duty, conflict of interest and causation in addition to a number of policy issues which also arose
Advising brokers on a substantial negligence claim for failing to advise correctly on cover required
Advising a solicitors firm on breach of breach of duty and scope of duty. The firm allegedly failed to carry our adequate due diligence around transactions which led to the client being defrauded by a substantial amount
Advising a London law firm on a claim related to advice given on a high value property acquisition
Advising a top tier, international law firm against a complex professional negligence case relating to legal opinions provided to their client. This matter included cross-border disputes and multi-jurisdictional advice
Defending a claim again a UK office of an international firm relating to advice involving a corporate transaction
Acting in a multi-million claim brought against a Jersey-based firm of solicitors acting as trustee in a family trust which was the subject of a dispute between settlor and beneficiaries
Acting for a magic circle law firm in relation to a complex negligence claim (EUR 60 million) arising out of the restructuring of a pan-European motor distribution network
Acting for an international law firm in a professional negligence claim relating to contract advice they had provided
Representing a law firm in a claim relating to allegations of negligence around the handling of litigation defence work
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