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 350 results
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Decision Reference DRN-2749179
21 Oct 2021 Phoenix Wealth Services Limited Not upheldPensions and AnnuitiesDRN-2749179 The complaint Mr D has complained about Phoenix Wealth Services Limited (Phoenix). Amongst other complaint points raised, he’s said Phoenix ignored his instructions when dealing with paying cash distributions into his pension. As a result, he feels he has lost out financially. ... (3 pages)View decision -
Decision Reference DRN-2107432
5 Mar 2021 Alan Steel (Asset Management) Limited Not upheldPensions and AnnuitiesDRN-2107432 The complaint Mrs M has complained that Alan Steel (Asset Management) Limited, (AS), didn’t take proper action in relation to a fund within her SIPP portfolio which she feels resulted in her suffering significant financial loss. What happened Mrs M transferred the management of... (3 pages)View decision -
Decision Reference DRN-2566987
23 Apr 2021 Hargreaves Lansdown Advisory Services Limited UpheldPensions and AnnuitiesDRN-2566987 The complaint Ms R has complained about the service and advice she’s received from Hargreaves Lansdown Advisory Services Limited (HLAS), in the following terms: she didn’t receive an annual review between March 2018 and June 2019; HLAS has applied an incorrect lifetime allowanc... (7 pages)View decision -
Decision Reference DRN-3971794
18 Jul 2023 SPF Private Clients Limited Not upheldInvestmentsDRN-3971794 The complaint Mr C complains that SPF Private Clients Limited (“SPF”) didn’t act in his best interests after they recommended changes in his investment portfolio. What happened Mr C had been a client of SPF since 2011, receiving advice on his pension and ISA investments. In Jul... (3 pages)View decision -
Decision Reference DRN-4265107
15 Jan 2024 Hargreaves Lansdown Advisory Services Limited Not upheldInvestmentsDRN-4265107 The complaint Mr C complains that Hargreaves Lansdown Advisory Services Limited (HLAS) gave him unsuitable advice to invest in the Woodford Equity Income Fund (WEIF), and then didn’t signpost issues with the fund later on. What happened In January 2016 Mr and Mrs C received inv... (4 pages)View decision -
Decision Reference DRN-3335407
11 Mar 2022 Landmark Financial Planning Limited Not upheldInvestmentsDRN-3335407 The complaint Ms T complains she was given unsuitable investment advice by Landmark Financial Planning Limited. She particularly feels that one of the funds it recommended carried too much risk and that she should have been advised to switch out of it sooner. So, she’d like the... (4 pages)View decision -
Decision Reference DRN-5400088
19 Mar 2025 LFS & Partners Limited UpheldInvestmentsDRN-5400088 The complaint The trustees of B (“the charity”) complain that LFS & Partners Limited trading as Lyn Financial Services (“Lyn”): Didn’t provide the charity with an attitude to risk report from 2016. Failed to provide advice about changing the charity’s Cofund/AEGON investm... (9 pages)View decision -
Decision Reference DRN-3327711
22 Feb 2022 Hargreaves Lansdown Asset Management Limited Not upheldInvestmentsDRN-3327711 The complaint Mr A complains about the service he received from Hargreaves Lansdown Asset Management Limited (HLAM). What happened In 2018, Mr A transferred his investment holdings to HLAM from another provider. There was initially a problem with HLAM getting the original cost ... (4 pages)View decision -
Decision Reference DRN-3091251
2 Apr 2024 Wilfred T. Fry (Personal Financial Planning) Limited Not upheldInvestmentsDRN-3091251 The complaint Mr J complains that Wilfred T Fry (Personal Financial Planning) Limited (Fry) failed in its duty of care because it didn’t tell him to sell some or all of his investment in the Woodford Equity Income Fund (WEIF) ahead of it being suspended and later closed. Mr J s... (4 pages)View decision -
Decision Reference DRN-4568646
6 Mar 2024 Hargreaves Lansdown Advisory Services Limited Not upheldInvestmentsDRN-4568646 The complaint Mr and Mrs C complain that Hargreaves Lansdown Advisory Services Limited (HLAS) will not explain to them exactly how much of their own indirect investment in the Woodford Equity Income Fund (WEIF) has been returned to the portfolios they were invested in. What hap... (5 pages)View decision
