A Claims Management Company

Mis-Sold investment - Henderson Carter Associates

Latest Update: 5th March, 2019 (MoneyMarketing)

Case Points

Total amount invested


Why did people invest in it?

Henderson Carter Associates was formed in 2009, and offered financial advice services to its clients.

Why was it mis-selling?

The firms FCA authorisation was partially withdrawn in February 2016. An FCA and FSCS investigation into the firm remains underway related to breaking of FCA regulations.

Potential value of cases



Henderson Carter Associates was a Cheshire based firm of Independent Financial Advisors that was founded in 2009. The firm offered a range of services including investment, mortgage and pensions advice. In their list of services available during January 2016, they specifically mentioned the possibility of investing in a Self-Invested Personal Pension or SIPP, where they stated that “there is no reason why you should not consider running a SIPP alongside a traditional pension or company scheme.”

In February 2016, FCA authorisation for Henderson Carter was partially withdrawn. They were banned by the FCA from including non-standard investments within SIPPs, and was ordered to cease all new pensions business. This was related to a finding by the FCA that, between 30th October 2013 and 7th July 2015, Henderson Carter had failed to act with sufficient integrity. It had thus breached Article 1 of the FCA’s Principles for Businesses.

On 10th February 2016, the firm was placed in administration. As of the 22nd August 2019, the administration remains underway. This is because there is an active FCA and FSCS investigation that remains underway, and until it is completed, the FCA will not allow administration to be completed.

You are likely to have a potential claim on the basis of advice from a regulated firm. The claim above is only an example of a potential claim. Each claim is judged on its individual merits and as such, we cannot guarantee that your individual claim will be successful or that you indeed may have grounds for a claim.

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