Financial Services
Disputes, investigations and recoveries in regulated financial markets
Financial services disputes are commonly document-heavy, regulator-sensitive and reputationally exposed. Complaints and claims can quickly develop into enforcement risk, portfolio exposure and board-level reporting issues.
We act for financial institutions, fintech platforms, investment firms and regulated service providers in disputes, investigations and recoveries. Our work focuses on defensible governance, privilege discipline and commercial outcomes.
Our expertise in financial services disputes and investigations
Disputes and complaints with regulatory sensitivity
We advise on:
- Mis-selling, suitability and disclosure disputes
- Payment services disputes and unauthorised transaction claims
- Broker/intermediary negligence and introducer disputes
- Valuation and NAV disputes, pricing errors and mandate breaches
- Fraud, misappropriation and unauthorised trading allegations
FCA engagement, investigations and enforcement risk
We act on:
- FCA supervisory engagement and enforcement processes
- Investigation governance and privilege strategy
- Skilled person reviews and response planning
- Board reporting frameworks for disputes and investigations
Recoveries and cross-border enforcement
We advise on:
- Security enforcement and recovery strategy for lenders and insurers
- Cross-border enforcement planning and judgment/award execution
- Subrogated recoveries and coordinated multi-party recovery actions
AML, sanctions and financial crime disputes
We support:
- Financial crime risk investigations and response
- Sanctions screening disputes and governance issues
- Internal fraud reviews and civil recovery actions
How we work with energy clients
- Continuity-aware strategy: dispute steps aligned with operational constraints
- Regulator-facing discipline: privilege, process and documentation managed carefully
- Technical evidence capability: early expert engagement where performance is contested
- Cross-border capability: coordinated approaches where assets or counterparties are offshore
Contact us
If you are facing a complaint, claim or FCA-facing issue, we can assist.
Discuss a live dispute, investigation or remediation programme
Arrange an independent portfolio review and risk mapping
Request our latest financial services disputes updates