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
  • Hillsborough stadium disaster

    Instructed to represent Operation Resolve at the inquests into the Hillsborough stadium disaster.

    United Kingdom

    Local authority duty of care

    Representing Chester-le-Street District Council and others, where we considered the extent of duty of care owed by local authority to public when an interactive inflatable art exhibit took off, killing and injuring visitors.

    United Kingdom

    Local Authority public liability advice

    Advising the London Borough of Hounslow in the X and Y v Hounslow LB - 2009 EWCA Civ 286 case involving a duty owed by social workers towards vulnerable adults.

    United Kingdom

    Malicious procurement of a warrant, unlawful arrest and false imprisonment

    Advising on a complex and high value claim, over GBP 1.3m, pursued by multiple claimants alleging malicious procurement of a warrant, misfeasance in public office, trespass, unlawful arrest and false imprisonment.

    United Kingdom

    Public liability claim during property demolition

    Successful defence of a house owner sued by contractors for GBP 1 million following an accident during the demolition and reconstruction of a property.

    United Kingdom
  • Hillsborough stadium disaster

    Instructed to represent Operation Resolve at the inquests into the Hillsborough stadium disaster.

    United Kingdom

    Local authority duty of care

    Representing Chester-le-Street District Council and others, where we considered the extent of duty of care owed by local authority to public when an interactive inflatable art exhibit took off, killing and injuring visitors.

    United Kingdom

    Local Authority public liability advice

    Advising the London Borough of Hounslow in the X and Y v Hounslow LB - 2009 EWCA Civ 286 case involving a duty owed by social workers towards vulnerable adults.

    United Kingdom

    Malicious procurement of a warrant, unlawful arrest and false imprisonment

    Advising on a complex and high value claim, over GBP 1.3m, pursued by multiple claimants alleging malicious procurement of a warrant, misfeasance in public office, trespass, unlawful arrest and false imprisonment.

    United Kingdom

    Public liability claim during property demolition

    Successful defence of a house owner sued by contractors for GBP 1 million following an accident during the demolition and reconstruction of a property.

    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

Laura Cooke
Laura Cooke

Partner

James Cooper
James Cooper

Partner

Reece Corbett-Wilkins
Reece Corbett-Wilkins

Partner

Felipe Hoetz
Felipe Hoetz

Partner

Arturo Majlis
Arturo Majlis

Partner

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