Stockbrokers & Fund Managers

Our dedicated team advises on litigation, regulatory, risk management and related matters for stockbrokers, wealth managers and IFAs.

Advising stockbrokers & fund managers on litigation, regulation and risk

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.

Our Stockbrokers & Fund Managers Work

  • All
  • UK & Europe
  • Breach of copyright claims

    Claims for breach of copyright by companies where a Web developer has used copyrighted images when designing a website without paying the appropriate licence fee

    United Kingdom

    Claims for repayment of fees due to dissatisfactory work

    Claims for repayment of fees where the work done by the Insured has proved to be of a dissatisfactory quality

    United Kingdom

    Community care and development industries advice

    Advising fostering and adoption charities and residents associations, including in relation to service charge and injury claims.

    United Kingdom

    Copyright infringement claims

    Claims for infringement of copyright and designs rights where it was alleged that the website designed by the Insured was similar to that of the claimant

    United Kingdom

    Failed installation of new IT system

    Failure by an IT systems installation expert to install a new IT system for a firm of solicitors that was 'fit for purpose'

    United Kingdom

    Failed software programme by IT programmer

    Failure by an IT programmer to provide a software programme which provided a contact management system for their client

    United Kingdom

    Negligence claims alleging incorrect coding of website shopping cart

    Claims for negligence where the Insured had failed to correctly code the shopping cart on a website used for the sale of the claimants' product, resulting in items being purchased for a quarter of the price

    United Kingdom

    Professional recruitment claims

    Advising on claims arising out of the supply of individuals to professional firms and companies, and representing a recruitment industry lobbying group

    United Kingdom

    Website created by IT website developer failing client's specifications

    Failure by an IT website developer to create a bespoke website in accordance with the specifications requested by the client

    United Kingdom
  • Breach of copyright claims

    Claims for breach of copyright by companies where a Web developer has used copyrighted images when designing a website without paying the appropriate licence fee

    United Kingdom

    Claims for repayment of fees due to dissatisfactory work

    Claims for repayment of fees where the work done by the Insured has proved to be of a dissatisfactory quality

    United Kingdom

    Community care and development industries advice

    Advising fostering and adoption charities and residents associations, including in relation to service charge and injury claims.

    United Kingdom

    Copyright infringement claims

    Claims for infringement of copyright and designs rights where it was alleged that the website designed by the Insured was similar to that of the claimant

    United Kingdom

    Failed installation of new IT system

    Failure by an IT systems installation expert to install a new IT system for a firm of solicitors that was 'fit for purpose'

    United Kingdom

    Failed software programme by IT programmer

    Failure by an IT programmer to provide a software programme which provided a contact management system for their client

    United Kingdom

    Negligence claims alleging incorrect coding of website shopping cart

    Claims for negligence where the Insured had failed to correctly code the shopping cart on a website used for the sale of the claimants' product, resulting in items being purchased for a quarter of the price

    United Kingdom

    Professional recruitment claims

    Advising on claims arising out of the supply of individuals to professional firms and companies, and representing a recruitment industry lobbying group

    United Kingdom

    Website created by IT website developer failing client's specifications

    Failure by an IT website developer to create a bespoke website in accordance with the specifications requested by the client

    United Kingdom

Our Stockbrokers & Fund Managers team

Lee Astfalck
Lee Astfalck

Partner

Mark Beswetherick
Mark Beswetherick

Partner

Anthony Brown
Anthony Brown

Partner

Ben Brown
Ben Brown

Partner

Clinton Cameron
Clinton Cameron

Partner

Fergal Cathie
Fergal Cathie

Partner

James Cooper
James Cooper

Partner

Felipe Hoetz
Felipe Hoetz

Partner

Arturo Majlis
Arturo Majlis

Partner

David Méheut
David Méheut

Partner

Patrick Perry
Patrick Perry

Partner

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