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Case Studies

Indemnity claim under appointed representative agreement

Our client was an appointed representative IFA. His agreement with his principal contained widely drafted indemnity provisions in respect of claims made against that company.

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Defence of regulatory enforcement action

This matter involved an entity regulated by the Financial Services Authority (now Financial Conduct Authority) which had been subject to a monitoring visit by FSA in relation to redress for mis-selling of personal pension policies from defined benefit schemes. 

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Dispute over sale of syndicated SIPP property

A syndicated SIPP member had a 50% interest in a commercial property, the rest being held by two other SIPP members on an equal basis.

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Litigation against investment bank

This was a hybrid case; involving part of the business being run as a partnership at will with the rest comprising limited companies.

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