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Our Services
Regulated Broker Recovery
Even FCA-regulated brokers can fail their clients — through mis-selling unsuitable products, churning portfolios for commission, executing orders poorly, or trading without authority. Where this happens you have strong rights through the FOS and FSCS.
Up to £430k
FOS award limit per investment claim
Up to £85k
FSCS protection if the firm has failed
4.8 ★
Trustpilot rating
Warning Signs to Watch For
- Investments recommended that did not match your risk profile
- Excessive trading on your account that generated commissions but eroded value
- Trades you did not authorise
- Failure to execute your instructions or to follow stop-losses
- Concentrated positions in single high-risk assets without adequate disclosure
- Failure to provide promised reports or statements
Our Recovery Process
1
Review
We obtain account history, suitability assessments, and KYC documentation.
2
Assess
We identify breaches of the FCA Conduct of Business Sourcebook and your client agreement.
3
Claim
We file the formal complaint, escalate to the FOS, and prepare FSCS claims if the firm has failed.
4
Recover
We secure compensation up to FOS/FSCS limits or pursue civil action above them.
Common Regulated-Broker Failings
- Suitability failures — recommending products beyond your risk capacity or knowledge
- Churning — excessive trading to generate commissions
- Unauthorised trading — transactions you never approved
- Best-execution failures — orders filled on poor terms
- Concentration risk — over-exposure to single assets without disclosure
- Reporting failures — missing or misleading statements
Compensation Routes
The FOS can award up to £430,000 per investment complaint. Where the firm has failed, the FSCS pays up to £85,000. For larger losses, civil action against the firm and individual advisers remains available.
Failed by a regulated broker or financial adviser?
Speak with our specialists today — free, confidential, no obligation.
Frequently Asked Questions
Generally six years from the loss, or three years from when you reasonably knew of it. Some claims have longer windows.
Market risk is no defence to suitability or execution failures. We separate honest losses from compensable ones.
Affected by regulated broker recovery?
Our team of expert fraud lawyers can help you recover your lost funds.