Freephone 080 0222 9500  Freephone: 080 0222 9500
Mon - Sun | 8 am - 8 pm
48-49 Russell Square, WC1B 4JP

Financial Negligence

Fortunately, whether you are an individual or corporate investor, the financial services industry is generally well-regulated. If you have reason to believe that you have been the victim of fraud or misrepresentation, you will quite possibly have the opportunity to seek justice. The FCA, The Financial Ombudsman and many other enforcement agencies have set forth guidelines and strict rules for any financial institution conducting investment transactions. These professionals and companies, regardless of size, owe their clients a duty of fair dealing; they must disclose certain information, charge prevailing market rates, candidly discuss conflicts of interest, and follow instructions promptly. Furthermore, they must evaluate potential investments according to whether they may be suitable for a clients particular needs. If these conditions are not met contact the Grayfords experts for a case evaluation.


Types of financial negligence:

  • Broker Misconduct
  • Misrepresentation and Omission
  • Stock Manipulation
  • Hedge Fund Fraud
  • Ponzi Schemes
  • IPO Fraud
  • Subprime Investments
  • CDO and CMO Misrepresentations
  • Selling Away
  • Principal Protected Note Cases
  • Unsuitable Investments
  • Securities Litigation
  • Account Churning
  • Boiler Rooms
  • Breach of Contract
  • Breach of Duty
  • Failure to Diversify
  • Failure to Execute Trades
  • Failure to Supervise
  • Financial Elder Abuse

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Practice areas :

  • Financial Services and Markets Act : authorisation, supervision, compliance and disciplinary issues, mis-selling of investment products including interest rate hedging and derivatives).
  • Recovery of unauthorised payments and misapplied assets : mistaken payments, tracing and subrogation, liabilities for dishonest assistance and knowing receipt, applications for freezing injunctions and other urgent interim orders
  • Consumer Credit Act : enforcement of Consumer Credit agreements, Consumer Credit compliance and supervision by the Financial Conduct Authority).
  • Consumer and business finance issues : recovery and enforcement of personal and business finance, including lease and hire purchase finance, claims for breach of warranty/implied terms, factoring and invoice discounting
  • Insolvency issues affecting lenders and borrowers : corporate and individual insolvency, including administrations
  • Lender and bank liabilities : financial mis-selling claims and professional negligence involving lenders and banks, financial advisers and valuers
  • Payment, set-off and account issues : payment services regulation, mobile payments, electronic transfers, cheques, bills of exchange, notes, and documentary credits
  • Securities and mortgage law and regulation : drafting and enforcement of mortgages, charges, debentures, guarantees and indemnities, possession proceedings, forced sales and receiverships

Product Expertise:

  • Closed End Funds
  • Equity-Linked Notes (ELNs)
  • Exchange Traded Funds (ETFs)
  • Managed Futures Funds
  • Mutual Funds
  • Oil and Gas Investments
  • Real Estate Investment Trusts (REITs)
  • Reverse Convertible Notes
  • Variable Annuities
  • Stocks, Futures, and Derivatives
  • Margin Trading
  • Unit Investment Trusts (UITs)
  • Asset-backed securities
  • Private Placements



Our team is conveniently located in Bloomsbury, Central London.

48-49 Russell Square,

Reach Us

Phone: 020 7100 6100
Fax: 0207 183 9983
SRA Number: 607902

Operating Hours

  • Monday-Sunday: 8am - 8pm