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I'm not where to start regarding putting in a complaint

Customer Question
Hi. I'm not where...

Hi. I'm not where to start regarding putting in a complaint against a financial advisor we engaged 2 years ago. I have sent an email off requesting application forms lodged with lenders, mortgage insurance applications, insurance review, and also a copy of their Financial Services Guide as well as copy of the signed statement of advice that they have on file and a copy of any signed service agreements. I then sent them a full email detailing my complaint. I got a reply yesterday saying that had finished for the year and have no staff back till 22nd Jan. I have a copy of the email with all of my concerns if that makes things easier. Thanks ***** *****

Lawyer's Assistant: Because real estate law varies from place to place, can you tell me what state this is in?

It's Victoria. It's not real estate it is regarding services promised by a financial advisor and not provided after we paid out $12200

Lawyer's Assistant: Has anything been filed or reported?

The only correspondence has been what I have sent them so far. This is my first step for any sort of legal advice.

Lawyer's Assistant: Anything else you want the lawyer to know before I connect you?

Not really. As I said I have a full email with all of the issues that I have sent them which can be provided.

Submitted: 7 months ago.Category: Australia Law
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Answered in 5 minutes by:
12/18/2017
Solicitor: Leon, Solicitor replied 7 months ago
Leon
Leon, Solicitor
Category: Australia Law
Satisfied Customers: 46,707
Experience: BEc Dip Ed, Dip Law (SAB) MTax (UNSW)
Verified

Hi, I am Leon, a NSW Solicitor. I will be assisting you with your question today. I may ask a few questions. I can call you for an extra fee.

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Solicitor: Leon, Solicitor replied 7 months ago

Good Morning

If you are alleging they have been negligent you have a right to sue them.

A forma complaint to have them investigated should be provided to ASIC as they issue them with the licences and are reponsible to make sure that they comply with the law and their obligation.

Here is their link

http://asic.gov.au/about-asic/contact-us/how-to-complain/

In relation to a negligence claim to be compensated for your losses due to their breech of duty to you, you will have to see a solicitor that practices in professional negligence and have them lodge an application with the District Court.

Firms like Maurice Blackburn and Shine Lawyers have this type of practice and usually take these matters on a no win no fee basis as the Insurance of the Advisor will be acting for them.

At present nothing much will happen because of the christmas break. If they are not going to respond until the 22 January 2018 you can wait and see what they say before taking the next step.

Once you get their response you can then report them and if they do not respond issue one more email and give them 7 days after the 22 January 2018 and then lodge the complaint and see the solicitor.

I hope this makes sense and is of assistance. If you have found my answer to be helpful, please rate me five stars so I can get paid for my services to you. I am happy for you to ask further questions on anything you wish more detail on.

Regards

Leon

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DISCLAIMER: Answers from Experts on JustAnswer are not substitutes for the advice of an attorney. JustAnswer is a public forum and questions and responses are not private or confidential or protected by the attorney-client privilege. The Expert above is not your attorney, and the response above is not legal advice. You should not read this response to propose specific action or address specific circumstances, but only to give you a sense of general principles of law that might affect the situation you describe. Application of these general principles to particular circumstances must be done by a lawyer who has spoken with you in confidence, learned all relevant information, and explored various options. Before acting on these general principles, you should hire a lawyer licensed to practice law in the jurisdiction to which your question pertains.

The responses above are from individual Experts, not JustAnswer. The site and services are provided “as is”. To view the verified credential of an Expert, click on the “Verified” symbol in the Expert’s profile. This site is not for emergency questions which should be directed immediately by telephone or in-person to qualified professionals. Please carefully read the Terms of Service (last updated February 8, 2012).

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