Complaints About Professionals
When a professional — a solicitor, financial adviser, accountant, surveyor, or doctor — falls below the standard you have a right to expect, you have both contractual rights (for poor service) and regulatory rights (to report misconduct). This guide sets out the complaint routes for common regulated professions.
Key points
- Regulated professionals must have complaints procedures — exhaust these before going to an ombudsman or regulator.
- The Legal Ombudsman handles complaints about solicitors, barristers, and other legal service providers.
- The FOS handles complaints about financial advisers, financial planners, and IFAs.
- Serious misconduct (such as fraud or dishonesty) should be reported to the professional's regulatory body as well as using the complaints route.
Complaints About Solicitors and Legal Professionals
Complaints about solicitors (and other legal service providers regulated by the SRA) should first be raised with the firm's complaint handling partner. The firm must acknowledge your complaint within 8 weeks and issue a final response. If you remain unhappy, refer to the Legal Ombudsman (legalombudsman.org.uk).
The Legal Ombudsman can consider complaints about poor service (delay, communication failures, charges above an agreed fee). It cannot determine disputed points of law. If you believe a solicitor has committed professional misconduct (fraud, dishonesty, breach of professional rules), report to the Solicitors Regulation Authority (SRA) as well.
For barristers, raise the complaint with their chambers first and then refer to the Bar Standards Board or the Legal Ombudsman, depending on the nature of the complaint.
Complaints About Financial Advisers and Planners
Financial advisers and planners regulated by the FCA must have a complaints process. Raise your complaint in writing first. If unresolved after 8 weeks (or if you receive a final response you are unhappy with), refer to the Financial Ombudsman Service (FOS).
Common complaints about financial advisers include:
- Unsuitable advice — being recommended a product or investment that was not appropriate for your risk profile or circumstances
- Excessive charges or undisclosed fees
- Poor performance relative to the promised outcome (though investment losses alone are not grounds for a complaint unless the advice was unsuitable)
- Conflicts of interest and undisclosed commissions
For serious misconduct — market manipulation, fraud, or other regulatory breaches — also report to the FCA directly.
Other Regulated Professions
Quick reference for other common professional complaint routes:
- Surveyors and valuers (RICS members): Raise with the firm; escalate to RICS Dispute Resolution Services (drs.rics.org)
- Architects (ARB registered): Raise with the firm; report serious misconduct to the Architects Registration Board (arb.org.uk)
- Accountants (ICAEW members): Raise with the firm; escalate to ICAEW for disciplinary matters
- Estate agents: Raise with the firm; escalate to The Property Ombudsman (tpos.co.uk) or Property Redress Scheme
- Insurance brokers: Raise with the firm; escalate to the FOS
- Doctors (NHS): Use NHS complaints process; escalate to PHSO. For private doctors, report serious misconduct to the General Medical Council (GMC)
Frequently asked questions
Can I report a professional to their regulator and also claim compensation?
My solicitor's bill is much higher than I expected — what can I do?
How long do I have to complain about a professional?
What to do next
- 1Contact the Legal Ombudsman
Free complaints service for solicitors and legal professionals.
- 2Refer a financial adviser complaint to FOS
Escalate complaints about financial advisers.
- 3Report a solicitor to the SRA
Report professional misconduct to the Solicitors Regulation Authority.
Official bodies and resources
Financial Ombudsman Service
OmbudsmanResolves complaints between consumers and financial businesses such as banks, insurers, and lenders.
Financial Conduct Authority
RegulatorRegulates financial services firms and financial markets in the UK to ensure they are honest, fair, and effective.
Citizens Advice
CharityProvides free, confidential, and independent advice on a wide range of issues including benefits, housing, debt, and employment.
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