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Frequently Asked Questions

Below are some of our customers frequently asked questions
along with information to help you understand your claim.

Are we regulated?

Hallbrook is authorised and regulated by the Financial Conduct Authority (FRN837713).

How long have we been trading?

Hallbrook is a trading a name of Hallbrook Partners Limited and has been trading since 2008. Company registration number 06726713.

What paperwork do I need for a claim?

You may need to provide copies of contract notes, share certificates along with other paperwork related to your dealings with the firm, however in most cases, with your permission, we can assist with obtaining records from third parties. Please speak to a Hallbrook representative for more information.

Who pays the compensation?

If it’s a claim to the FSCS then the compensation is paid by levies on the Financial Services Industry. Don’t worry it doesn’t come from the tax payer.

If it’s a complaint to the firm or FOS then the firm will pay directly.

What are your fees?

We do not charge upfront fees. We only charge a success fee of 30% inc VAT if you receive compensation.

If you cancel your agreement after the 14 day cooling off period, you may be charged a cancellation fee. If you wish to cancel the agreement after the 14 day cooling off period has expired but before we have reached a conclusion to your claim and where we have worked on your case, we would be entitled to charge you by the hour for any work that we have undertaken. Our current hourly rate is £100 plus VAT.

How long does it take?

A claim to the FSCS general takes around 6 months but can be longer. A claim to the firm and subsequently the FOS can take much longer than this. Don’t worry though we’ll keep you updated at key stages a long the way.

What’s your success record?

Since 2010 we have recovered and returned to clients in excess of £50 Million, even after the deduction of our fees.

What's the maximum compensation?

The FSCS limits compensation to £85,000 per eligible person, per firm for firms which failed on or after the 1st April 2019.

£50,000 per eligible person, per firm for firms which failed 1st January 2010 to 31 March 2019 and for firms which failed prior to this date £48,000.

The FOS can rule up to £350,000 for complaints about actions by firms which occurred on or after the 1st April 2019 and for complaints about actions that happened before 1 April 19 the limit is £160,000.
If you accept an award made in an ombudsman's final decision, it’s unlikely you’ll be able to take the business to court for more compensation later. We can’t give you legal advice about this, so you’ll need to seek independent legal advice if that’s something you’re considering, before you accept any award.
There are time limits on taking a case to court, and these continue to run while the FOS deal with a case. Again, you should get independent legal advice if this may be relevant to you.

Who receives the compensation?

If a claim with the is successful then generally Hallbrook will receive payment within 10 days following the FSCS decision letter. Following receipt of the compensation, our fee will be deducted as agreed and the balance will be paid to by cheque or BACS within 2 working days.

What happens to my shares?

Quite simply, you still own the shares.

The FSCS will value your shares at the date the stockbroker was declared in default. If the shares held a value at that date it will be deducted from the price you paid for them.


What is Principal Trading?

This is a practice where brokers advise investors to buy shares their firm already owns.

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The Parlimentary Review

The Parliamentary Review is a series of fiercely independent publications. It reviews the latest events in parliament from a non-partisan perspective, but it is wholly independent of government. Those companies which feature within the publication are not in any way endorsed by the Government, any government agency or regulator. For more information please visit the Parliamentary Review website www.theparliamentaryreview.co.uk

Hallbrook feature in the 2017 edition of The Parlimentary Review which is available to view here.