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 77 results
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Decision Reference DRN-3245127
18 Jul 2022 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-3245127 The complaint Mr Q complains about the advice given by Portafina Investment Management Limited (‘Portafina’) in relation to a deferred defined-benefit (‘DB’) occupational pension scheme that he held. Portafina processed the transfer of Mr Q’s DB scheme benefits to a Self-Invest... (8 pages)View decision -
Decision Reference DRN-4009564
31 Mar 2023 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-4009564 The complaint Mr D complains about the advice given by Portafina Investment Management Limited (‘Portafina’) to transfer the benefits from his defined-benefit (‘DB’) occupational pension scheme to a self-invested personal pension (‘SIPP’). Portafina processed the transfer of Mr... (9 pages)View decision -
Decision Reference DRN-3112522
10 Jun 2022 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-3112522 The complaint Miss W complains about the advice Portafina Investment Management Limited gave in relation to her defined-benefit (‘DB’) occupational pension scheme, which was transferred to a self-invested personal pension (‘SIPP’). She says the advice was unsuitable for her and... (11 pages)View decision -
Decision Reference DRN-4182077
7 Jul 2023 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-4182077 The complaint Mr R complains about the advice given by Portafina Investment Management Limited to transfer the benefits from his defined-benefit (‘DB’) occupational pension scheme to a self- invested personal pension (‘SIPP’). He says the advice was unsuitable for him and belie... (9 pages)View decision -
Decision Reference DRN-3145797
26 Jul 2022 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-3145797 The complaint Mr B complains that Portafina Investment Management Limited gave him unsuitable investment advice. In particular he says its advice to transfer two pension pots to a Self- Invested Personal Pension (SIPP) and take a tax-free lump sum was unsuitable. Mr B is repres... (7 pages)View decision -
Decision Reference DRN-4462400
17 Nov 2023 HARBOUR ROCK CAPITAL LIMITED UpheldPensions and AnnuitiesDRN-4462400 The complaint Mr D complains that Harbour Rock Capital Limited (then trading as Portafina Investment Management Limited) took too long to provide him with advice on his pension transfer. And that the delay meant that the transfer value he received was lower than it would have b... (7 pages)View decision -
Decision Reference DRN-2784764
14 Oct 2022 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-2784764 The complaint Miss S complains that advice given by Portafina Investment Management Limited (“Portafina”) to transfer the deferred benefits of her local government defined benefit occupational pension scheme into a self-invested personal pension wasn’t in her best interests. Mi... (7 pages)View decision -
Decision Reference DRN-3922988
14 Apr 2023 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-3922988 The complaint Mr M complains about the service he was given when transferring the benefits of a defined- benefit (DB) occupational pension scheme to a type of personal pension arrangement, in 2021. Mr M says that the business he paid to advise him and then transact the transfer... (6 pages)View decision -
Decision Reference DRN-3173757
18 Jul 2022 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-3173757 The complaint Miss G complains about the advice given by Portafina Investment Management Limited (‘Portafina’) to transfer the benefits from her defined-benefit (‘DB’) occupational pension scheme to a self-invested personal pension (‘SIPP’). She says the advice was unsuitable f... (7 pages)View decision -
Decision Reference DRN-3253672
21 Oct 2022 Portafina Investment Management Limited UpheldPensions and AnnuitiesDRN-3253672 The complaint Mr M complained about the advice he was given by Portafina Investment Management Limited to transfer his defined benefit occupational pension to a flexi-access income drawdown pension. What happened In 2018 Mr M approached Portafina to get some financial advice. O... (6 pages)View decision
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