We have a proven track record supporting firms when they have need of specialist advice or they require expert reports.
Our independent verification services are usually called on in litigation or as part of a dispute resolution. We offer impartial expert opinion relating to evidence or facts to be put before the court, using extensive knowledge and a wealth of experience.
Our experts cover IFAs, Wealth Managers, Private and Retail Banking, Collective Investments, Broker Dealers, Private Equity, Venture Capital, Wrap Platforms and Life and Pension providers.
Professional & Academic Qualifications
- Chartered Fellow of the Chartered Institute of Securities & Investment — Chartered FCSI
- Chartered Wealth Manager
- Certified Financial Planner — CFP
- Associate of the Personal Finance Society — APFS
- European Financial Planner — EFP
- Member of the Institute of Risk Management
- Pension Transfer Specialist
- Training & Competence Assessor
- Bachelor of Arts (Dual Honors) — BA (Hons)
SUMMARY OF EXPERIENCE
- 35 years’ experience of dealing with financial planning, investment, pensions, mortgages, social security and long-term care issues;
- 35 years’ experience of financial services practice standards;
- 30 years’ experience of financial regulation and compliance;
- 29 years’ experience as a regulatory and compliance consultant;
- 26 years’ experience span as a compliance officer & money laundering reporting officer;
- 26 years’ experience as a director/partner and of senior management and risk control in financial services.
Our major expert witness assignments include:
We were instructed by In-House Counsel of a major national firm of Independent Financial Advisers (IFAs). The f is the defendant in a litigation case between a former client and the firm of Independent Financial Advisers (IFAs). The case relates to the appointment and supervision of Appointed Representatives as well as the scope of regulatory permission. The case is scheduled for trial in 2018.
We were instructed in a litigation case involving alleged financial services fraud. Our instructions were to prepare expert opinion on the nature of regulatory activities carried out and an expert report relating to a fraudulent investment scheme. The case went to trial in 2016.
We were instructed in a litigation case between two firms of financial advisers relating to the transfer of a business and potential liabilities arising from alleged non-compliance with regulatory requirements. Our opinion was required relating to the nature and scale of the alleged non-compliance. The case was listed for trial in the summer of 2016 but has settled out of Court.
We were instructed in a litigation case between a private client and a major firm of financial and investment advisers. Our opinion was required relating to unsuitable advice and actions leading to potential loss of a significant capital sum. The case settled out of Court in the summer 2015.
We were instructed in a litigation case between a private client and a large Assurance Group. Our opinion was required relating to unsuitable advice and actions leading to potential loss of pension tax protection. The case settled out of Court in spring 2014.
We were instructed in a litigation case between a small self-administered pension scheme (SSAS) member and a pension scheme adviser and administrator. Our opinion was required relating to unsuitable advice and actions leading to potential loss of pension tax protection. The case settled out of Court.
We were instructed in a major litigation case between the Financial Services Compensation Scheme and NDF Administration. Our opinion was required relating to unsuitable sales of and misleading promotional materials for financial products. The case was settled out of court following delivery of expert reports.
We were instructed in a major Employment Tribunal case between a senior banker and a major Japanese bank. My opinion was required relating to allegations of non-compliant practices in capital markets transactions. Our expert appeared at the Tribunal as a witness and was subjected to cross-examination.
We were instructed to provide lead opinion and expert reports in a number of disciplinary cases against members, involving investment business transactions or advice. (We were asked to give an opinion on the suitability of investment advice and transactions under the Investment Business Regulations and the Financial Services Act 1986.) The cases involved expert reports, appearing at a Disciplinary Tribunal as a witness and cross-examination.