Share Portfolio Mis-Selling
Investing in shares and equities can provide excellent long-term returns, but only when recommendations are suitable for your circumstances, properly diversified, and aligned with your risk tolerance. Many investors have suffered significant losses from unsuitable share portfolios, concentrated positions in high-risk stocks, and advisory firms that prioritised commission over client interests. We help investors recover losses from negligent share dealing advice and hold financial advisers accountable.
Professional Advice Creates Professional Responsibility
When you pay for professional investment advice, your adviser has a legal duty to recommend suitable investments. If they recommend unsuitable shares or fail to diversify your portfolio properly, you may have grounds for compensation.
Common Share & Equity Mis-Selling
Concentrated Portfolios
Over-concentration in single stocks, sectors, or markets creating excessive risk and portfolio volatility.
Speculative Investments
Penny stocks, AIM-listed shares, and speculative positions unsuitable for cautious investors seeking stable returns.
Churning & Excessive Trading
Excessive buying and selling of shares generating commission for advisers while eroding your returns through costs.
Emerging Market Risk
Excessive exposure to volatile emerging markets without adequate risk disclosure or diversification.
Execution-Only Misrepresentation
Advisers claiming transactions were "execution-only" when they actually provided advice and recommendations.
Inappropriate Leverage
Margin trading, CFDs, or leveraged positions exposing you to unlimited losses beyond initial investment.
Suitability Requirements for Share Advice
Under FCA rules, financial advisers must ensure share recommendations are suitable:
Our Claims Process
Portfolio Analysis
We conduct detailed analysis of your share portfolio, transaction history, and advice documentation. We compare recommendations against your stated objectives, risk tolerance, and FCA suitability requirements to identify breaches.
Independent Expert Review
We instruct independent financial advisers to provide expert opinions on whether advice was suitable. Expert evidence is crucial for establishing that recommendations breached professional standards and caused your losses.
Formal Complaint
We submit comprehensive complaints to your stockbroker or financial adviser, setting out regulatory breaches, unsuitable advice, and losses suffered. We negotiate settlement directly with firms and their insurers.
Ombudsman or Court Action
If complaints are rejected, we escalate to the Financial Ombudsman Service or pursue court proceedings for high-value claims. We work on a no win, no fee basis, removing financial risk from pursuing legitimate claims.
Why Choose Us
Stockbroking Claims Specialists
Extensive experience in share dealing claims against stockbrokers, discretionary managers, and financial advisers.
No Win, No Fee
We offer no win, no fee funding for qualifying share portfolio claims, so you can pursue justice without financial risk.
Technical Investment Knowledge
Deep understanding of equity markets, portfolio theory, and FCA conduct of business rules.
Strong Track Record
Proven success in share dealing claims at Financial Ombudsman and through court proceedings.