Professional Negligence Claims Against A Financial Adviser

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If a financial adviser has caused you loss, we can help you make a claim.

Our expert team of professional negligence solicitors have many years of experience in advising businesses and individuals on professional negligence claims.

We can help you if your financial adviser has caused you loss; whether in relation to your mortgage, life insurance policies, or investments.

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Types of claims against financial advisers

Our professional negligence lawyers can provide a range of support and knowledge, including:

Financial Adviser Duty Of Care

All professionals owe their clients a duty of care. This means that they must perform their jobs to a reasonable standard and with reasonable care. If your financial adviser’s work falls below the standard that you should reasonably expect, you may be able make a professional negligence claim against your financial adviser.

Financial Adviser Professional Negligence

Many businesses and individuals use independent financial advisers (IFAs) to advise on a range of matters. We expect that advice to be accurate, and in most cases it is. However, sometimes things go wrong, meaning that you lose out financially as a result. Examples of financial adviser negligence include:

  • Mis-selling of any type of financial product, including mortgages, critical life cover, pensions, investments etc
  • Failing to properly assess your attitude to risk and recommending products that are not appropriate to your risk profile
  • Retirement planning negligence
  • Failing to carry out your instructions to vary your investment (e.g. selling shares when requested)
  • Negligent tax advice
  • Advising to invest in unsuitable pensions and self-invested personal pensions
  • Negligent advice in relation to tax avoidance schemes.

If you feel you have a claim against an IFA, it is important to seek specialist legal advice from an experienced professional negligence solicitor. There are strict time limits for professional negligence claims including those against financial advisers. In the main, this is six years. However, there are some exceptions, so it is worth getting in touch to discuss your claim. We always recommend that you contact us as soon as you become aware of any negligence.


Complaints About Financial Advisers

If you have a complaint about the service of your IFA, you may be able to complain to the Financial Ombudsman Service (FOS). As part of our advice, we will consider whether you may have a valid Ombudsman complaint.

Even if you have had a negative decision from the FOS, we may still be able to help you.

Can I Make A Claim Against My Financial Adviser?

If you have suffered financial loss (which we can help identify) as a result of your financial adviser, you may be able to sue them for negligence. For a successful professional negligence claim, you must be able to show that the financial adviser breached their duty of care to you and that you suffered loss as a result.

We will advise you on all aspects of your claim and give you clear costs advice.

If you would like a, no obligation discussion to see if you have a professional negligence claim against your financial adviser, call us on (freephone) 0800 988 7756.

With offices in LeedsLeeds North (Moortown) and London, we can bring our experience and knowledge to your claim, no matter where you are.



Professional Negligence Team

Ed Smith


0113 297 1875

Ed is head of our professional negligence department and a member of the Professional Negligence Lawyers Association. Read More.

Gemma Horner


0113 468 4099

Gemma is a partner in our Dispute Resolution team, based at our Leeds City Centre office. Read More.

Zoreen Aziz


0113 532 7184

Zoreen is a solicitor in our Dispute Resolution team, based at our Leeds City Centre office. Read More.

Amelia Fragola-Hunt

Dispute Resolution Paralegal

0113 297 3187

Amelia Fragola-Hunt is a Dispute Resolution paralegal in our Leeds office. Read More.

Sasha Taylor-Bolshaw

Dispute Resolution Paralegal

0113 297 3187

Sasha Taylor-Bolshaw is a Dispute Resolution paralegal in our Leeds office. Read More.

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