Would it be accurate to say that you were exhorted by an independent financial adviser to invest in a speculative scheme that didn’t pan out? Or was an independent financial adviser responsible for the loss of the cash you put away for your retirement? Or the receipt of a huge unforeseen tax bill? Or did an independent financial adviser imperil your investment goals?
- How was the investment product sold to you?
- What were your circumstances at the time of the sale?
- Was the investment sold without notifying you of its high-risk nature?
- Did you have the financial wherewithal to suffer the loss of the entire investment amount?
- What was your age and occupation at the time of the investment?
- Did the financial advisor use partial and/or misleading information?
- Was there a failure in the supervision of your investment?
- Was there a failure to diversify your investment portfolio?