We make decisions based on what we think is fair and reasonable, accounting for the unique circumstances of each case we receive. We anonymise our decisions and write them in a way that prevents the person or small business complaining from being identified.
This database holds all the final decisions we’ve published since 1 April 2013 under the Financial Services and Markets Act 2000, as amended by the Financial Services Act 2012.
Your search returned 349 results
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Decision Reference DRN-4946496
15 Jan 2025 Hargreaves Lansdown Advisory Services Limited Not upheldInvestmentsDRN-4946496 The complaint Mr R complains that Hargreaves Lansdown Advisory Services Limited (‘HLAS’): Were negligent in allowing the inclusion of the Woodford Equity Income Fund (WEIF) within his investment portfolios. He states that its inclusion within his portfolio resulted in “mas... (9 pages)View decision -
Decision Reference DRN-4682221
12 Apr 2024 Financial Administration Services Limited Not upheldInvestmentsDRN-4682221 The complaint Mr C complains about the administration undertaken by Financial Administration Services Limited (trading as Fidelity International, hereafter referred to as ‘Fidelity’) in respect of his investment ISA. He says Fidelity has failed to provide him with appropriate i... (5 pages)View decision -
Decision Reference DRN-5079207
14 Oct 2024 Hargreaves Lansdown Advisory Services Limited Not upheldInvestmentsDRN-5079207 The complaint Mr H complains that Hargreaves Lansdown Advisory Services Limited (‘HLAS’) delayed issuing a suitability report (SR) to him. Mr H says that because of HLAS’s delay: A number of their recommendations couldn’t be acted upon – specifically the sale of the Woodfo... (4 pages)View decision -
Decision Reference DRN-3376632
10 Jun 2022 Premier Benefit Solutions Limited Not upheldPensions and AnnuitiesDRN-3376632 The complaint Mr S complains that he was given unsuitable investment advice by Premier Benefit Solutions Limited trading as Premier Wealth Planning (PWP). He’s unhappy with their advice to invest in the Woodford Equity Income Fund (WEIF) as he thinks it carried a higher level o... (5 pages)View decision -
Decision Reference DRN-2949920
9 Feb 2022 LEBC Group Limited Not upheldInvestmentsDRN-2949920 The complaint Mr C complains that LEBC Group Limited changed the investment make-up of his portfolio without letting him know which he says caused him a financial loss. What happened Mr C received advice in March 2017 about transferring two of his existing pensions into an Inco... (2 pages)View decision -
Decision Reference DRN-4259045
6 Dec 2023 Hargreaves Lansdown Asset Management Limited Not upheldInvestmentsDRN-4259045 The complaint Mr C complains that Hargreaves Lansdown Asset Management Limited (HLAM) caused him a loss by virtue of the exposure to the Woodford Equity Income Fund (WEIF) within his portfolio. He also claims that he was promised regular portfolio benchmarking so that he could ... (5 pages)View decision -
Decision Reference DRN-4111329
4 Jul 2023 Hargreaves Lansdown Asset Management Limited Not upheldInvestmentsDRN-4111329 The complaint Mr F says Hargreaves Lansdown Asset Management Limited trading as Hargreaves Lansdown (HL) should’ve taken steps to check his contact details. It didn’t do this, and as a result he wasn’t informed of issues surrounding his investment in the Woodford Equity Income ... (2 pages)View decision -
Decision Reference DRN-5079212
14 Oct 2024 Hargreaves Lansdown Advisory Services Limited Not upheldInvestmentsDRN-5079212 The complaint Mr H complains on behalf of his wife, Mrs H, that Hargreaves Lansdown Advisory Services Limited (‘HLAS’) delayed issuing a suitability report (SR) to her. Mr H says that because of HLAS’s delay: A number of their recommendations couldn’t be acted upon – speci... (5 pages)View decision -
Decision Reference DRN-4259036
6 Dec 2023 Hargreaves Lansdown Asset Management Limited Not upheldInvestmentsDRN-4259036 The complaint Mrs C complains that Hargreaves Lansdown Asset Management Limited (HLAM) caused her a loss by virtue of the exposure to the Woodford Equity Income Fund (WEIF) within her portfolio. She also claims that she was promised regular portfolio benchmarking so that she co... (6 pages)View decision -
Decision Reference DRN-3157158
31 Oct 2023 Quilter Financial Services Ltd Not upheldInvestmentsDRN-3157158 The complaint Mr C has complained about the advisory services he received from Quilter Financial Services Ltd (Quilter) in relation to his investment into the Woodford Equity Income Fund (WEIF). What happened In 2016 Mr C was advised by his long-standing adviser from a business... (3 pages)View decision
