Regulated Broker Recovery
When a licensed broker mis-sells investments, trades without authority, or breaches its duty of care.
Regulated Broker Recovery
Even brokers and financial advisers operating under a formal license can fail the clients who trust them with their money. This can happen through recommending investments that do not match a client's risk tolerance or objectives, executing trades without proper authorisation, or generating excessive trading activity that produces commissions for the firm while eroding the value of the client's portfolio.
Other common failings include ignoring stop loss instructions, concentrating a portfolio in a single high risk asset without adequate warning, and failing to provide clear or accurate statements of account activity. Warning signs include investment recommendations that felt unsuitable from the outset, unexplained or unauthorised trades appearing on a statement, a portfolio that seems to trade far more frequently than expected, and an adviser who becomes evasive when asked to justify a strategy or a loss.
Investigation, tracing, and full legal representation
Our investigators obtain and review the full account history, the suitability assessments carried out at the outset of the relationship, and the client agreement governing the broker's obligations. This allows us to identify precisely where the firm departed from the standard of care it owed you and to quantify the resulting loss.
Where a broker has ceased trading, moved assets offshore, or forms part of a wider scheme operating across several countries, we work with Interpol and local law enforcement to support the tracing of assets and the pursuit of those responsible. Our lawyers then file the claim, negotiate with the firm or its insurers where possible, and represent you through litigation where necessary, guiding your case through to resolution.
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Other cases we handle
Bank Fraud
Scams that deceive you into sending funds to a criminal, or take control of your account outright.
Read more →Revolut and Digital Bank Refunds
Fraud losses through Revolut and other app based banks, where refunds are often wrongly refused.
Read more →Spoofing Fraud
Calls, texts, and emails faked to look like they come from your bank or a trusted organisation.
Read more →Report a Case in Confidence
If you suspect fraud, or you are already a victim of one, speak with our investigations team today. Every conversation is confidential, and there is no obligation to proceed.
Start a Claim