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
  • 英国和欧洲
  • Acting for a wealth management firm

    Acting for a wealth management firm in respect of multiple customer complaints concerning advice given to invest in an unregulated collective investment scheme (a fund of hedge funds). We advised on communications with customers and the FOS and have assisted with the design and implementation of a scheme (for approval by the FCA) to compensate all customers who fit within certain defined parameters

    United Kingdom

    Acting for IFAs

    Acting for IFAs in claims by clients and the FSCS arising out of the collapse of Keydata Investors who have lost all of their funds

    United Kingdom

    Acting in relation to a series of unregulated investments

    Acting for an IFA on a claim brought by a household name against his former financial adviser in relation to a series of unregulated investments made across the world

    United Kingdom

    Acting in relation to civil and regulatory exposures

    Acting for a wealth management firm in relation to civil and regulatory exposures arising from pension switching advice in which customers were advised to switch from occupational to personal pensions

    United Kingdom

    Acting on a series of frauds committed

    Acting for a well known national IFA network in relation to a series of frauds committed by an adviser

    United Kingdom

    Defending claims in respect of mortgage products

    Defending claims in respect of mortgage products and a number of cases in respect of alleged negligent mis-selling of home and equity release schemes

    United Kingdom

    Negligent advice in relation to high risk investments

    Acting for insurers of a firm of IFAs, in a claim alleging negligent advice in relation to high risk investments following the sale of shares. The case raises novel issues about the duties of care owed to investors who do not wish to invest in traditional types of investment such as equities and bonds

    United Kingdom

    Tax and M&A advice when acquiring a British publishing business

    Acting for a global law firm in a multi-party claim following tax and M&A advice provided in the course of the acquisition of a UK publishing business.

    United Kingdom
  • Acting for a wealth management firm

    Acting for a wealth management firm in respect of multiple customer complaints concerning advice given to invest in an unregulated collective investment scheme (a fund of hedge funds). We advised on communications with customers and the FOS and have assisted with the design and implementation of a scheme (for approval by the FCA) to compensate all customers who fit within certain defined parameters

    United Kingdom

    Acting for IFAs

    Acting for IFAs in claims by clients and the FSCS arising out of the collapse of Keydata Investors who have lost all of their funds

    United Kingdom

    Acting in relation to a series of unregulated investments

    Acting for an IFA on a claim brought by a household name against his former financial adviser in relation to a series of unregulated investments made across the world

    United Kingdom

    Acting in relation to civil and regulatory exposures

    Acting for a wealth management firm in relation to civil and regulatory exposures arising from pension switching advice in which customers were advised to switch from occupational to personal pensions

    United Kingdom

    Acting on a series of frauds committed

    Acting for a well known national IFA network in relation to a series of frauds committed by an adviser

    United Kingdom

    Defending claims in respect of mortgage products

    Defending claims in respect of mortgage products and a number of cases in respect of alleged negligent mis-selling of home and equity release schemes

    United Kingdom

    Negligent advice in relation to high risk investments

    Acting for insurers of a firm of IFAs, in a claim alleging negligent advice in relation to high risk investments following the sale of shares. The case raises novel issues about the duties of care owed to investors who do not wish to invest in traditional types of investment such as equities and bonds

    United Kingdom

    Tax and M&A advice when acquiring a British publishing business

    Acting for a global law firm in a multi-party claim following tax and M&A advice provided in the course of the acquisition of a UK publishing business.

    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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