Letter of claim—against an investment advisor for breach of contract and, or in the alternative, negligence in providing investment advice
Produced in partnership with Leigh Callaway of Fladgate
Letter of claim—against an investment advisor for breach of contract and, or in the alternative, negligence in providing investment advice

The following Dispute Resolution precedent Produced in partnership with Leigh Callaway of Fladgate provides comprehensive and up to date legal information covering:

  • Letter of claim—against an investment advisor for breach of contract and, or in the alternative, negligence in providing investment advice

[ON THE HEADED NOTEPAPER OF CLAIMANT’S SOLICITORS]

FAO [CLIENT PARTNER OR SENIOR PARTNER]

[NAME OF DEFENDANT]

[ADDRESS LINE 1]

[ADDRESS LINE 2]

[POSTCODE]

[DATE]

Dear [insert organisation name]

[PROSPECTIVE CLAIMANT’S NAME] AND [PROSPECTIVE DEFENDANT’S NAME]

LETTER OF CLAIM

We write further to our letter dated [insert date of your preliminary notice of claim, if sent].

That letter was a preliminary notice of claim sent pursuant to the Pre-Action Protocol for Professional Negligence, and required an acknowledgment by [insert date].

We are in receipt of your letter dated [insert date] acknowledging receipt of the Preliminary Notice. [However, we await confirmation that your professional insurers have been advised of the circumstances of our client’s claim against you. We also request that you pass a copy of this letter to them, and confirm to us that you have done so.]

    1. 1

      Overview

      1. 1.1

        We act for [insert Claimant’s name]. As you are aware, [insert Claimant’s name] is [insert description of claimant’s background/profession].

      1. 1.2

        We are instructed that you were previously instructed by our client to provide investment advice in connection with [explain ambit of the defendant’s original instruction. It may be appropriate to refer to the terms of the defendant’s original retainer]. As more particularly detailed below, it is our client’s position that as a result of your negligent advice in connection with [these investments], our client has suffered [considerable] loss and damage.

      1. 1.3

        [Having] [reviewed the documentation you previously provided], [and having

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