Litigation Assistance

Fortress Legal Finance is a company incorporated to provide litigation funding solutions for commercial corporations.

Our senior staff enjoy over sixty years experience either at Executive levels of management or Director levels in the specialist fields of Civil Litigation Claims and/or providing suitable funding arrangements for Civil Litigation Cases and/or After The Event (“ATE”) insurance.

Our complimenting staff comprises of our own in-house Barristers as well as the former Head Clerk of a leading set of Barristers Chambers.

Fortress Legal Finance also enjoys exceptionally close working relationships with many leading firms of Solicitors and prominent sets of Barristers Chambers.

Fortress Legal Finance is the trading name and style of Fortress Legal Finance Limited, our Registered Offices are located at 5 Chancery Lane, London, EC2A 1LG and our Company Registration number is: 09910024.

LITIGATION FUNDING

WE PROVIDE LITIGATION FUNDING SOLUTIONS FOR COMMERCIAL CIVIL DISPUTES/CLAIMS, OUR SERVICES IN THE MAJORITY OF INSTANCES ARE USUALLY PROVIDED ON A NO WIN -NO FEE BASIS; HOWEVER DEPENDING ON THE COMPLEXITY OF THE DISPUTE/CLAIM AND THE FUNDING REQUIREMENTS OF THE CASE CONCERNED; WE MAY ALSO CHARGE A NOMINAL FACILITATION FEE ON ANY LITIGATION FUNDING THAT IS PROVIDED.

WE WERE RECENTLY SUCCESSFUL IN PROVIDING A SUBSTANTIAL BESPOKE FUNDING SOLUTION ON BEHALF OF A CLIENT CONCERNING A COMPLEX LITIGATION MATTER AGAINST A DEFENDANT ENTITY WHO ENJOYED FAR LARGER FINANCIAL AND LEGAL RESOURCES THAN THIS CLIENT WAS (PRIOR TO OUR INVOLVEMENT) ABLE TO PROVIDE THEMSELVES.

THIS CLIENT COMPLEMENTED THE SERVICES THAT WE PROVIDED TO THEM AS BEING COMPARABLE TO THE CONFLICT BETWEEN “DAVID AND GOLIATH” AS THE CLIENT ADVISED US THAT WITHOUT OUR EXPERTISE AND LITIGATION FUNDING SOLUTION, THAT THEY WOULD HAVE OTHERWISE SIMPLY HAD TO ABANDON ANY HOPES THAT THEY HAD TO SEEK RECOURSE FOR THEIR CLAIM VIA THE CIVIL COURTS.

NOTWITHSTANDING THE “DAVID AND GOLIATH” COMPARISON REGARDING OUR SERVICES, WE RECOGNISE THAT FOR ANY PARTY TO SEEK REMEDIES AT LAW BY CONSIDERING TAKING CIVIL LITIGATION ACTION AGAINST ANY PARTY CAN BE BOTH EXTREMELY STRESSFUL AND ALSO HAVE A NEGATIVE IMPACT ON THE FINANCIAL RESOURCES FOR ANY PARTY CONSIDERING BRINGING SUCH AN ACTION.

IN ORDER TO ASSIST WITHIN THIS PROCESS, OUR IN-HOUSE TEAM OF FULLY QUALIFIED BARRISTERS AND CONSULTANTS PROVIDE HIGHLY EFFICIENT BESPOKE LITIGATION FUNDING SOLUTIONS AND ANCILLARY SUPPORT SERVICES TO BOTH CLAIMANTS AND/OR THEIR APPOINTED SOLICITORS AND TO BARRISTERS (WHO ARE ACTING ON THEIR CLIENT’S BEHALF UNDER THE PUBLIC ACCESS SCHEME, AS SET OUT BY THE BAR STANDARDS BOARD) WITH REGARD TO ALL STAGES OF COMMERCIAL CIVIL LITIGATION DESPUTES.

IN COMPLEX CASES OR INDEED WHERE NO LEGAL REPRESENTATION HAS ALREADY BEEN OBTAINED, FORTRESS LEGAL FINANCE MAY ALSO RECOMMEND THAT A SPECIALIST SOLICITOR AND/OR BARRISTER ARE APPOINTED TO ANY SUCH A CASE: IN THIS REGARD THE OPTION IS OPEN FOR THE CLIENT TO SEEK IMPARTIAL ADVICE FROM ANY OTHER SOLICITOR SHOULD THEY SO WISH (PLEASE NOTE THAT FORTRESS LEGAL FINANCE WILL AT ALL TIMES FULLY COMPLY WITH THE SOLICITOR’S INTRODUCTION AND REFERRAL CODE AS PUBLISHED BY THE LAW SOCIETY).

TYPES OF LITIGATION CASES WE HANDLE

Typically, the types of claim we handle fall into one of the following categories. However, the listed categories below is not an exhaustive list of all the of the types of Civil Litigation cases that we handle and we are happy to review and discuss most other types of Commercial Civil Litigation claims with both solicitors and direct clients.

Infringement of Copywright and / or Trademarks

* Mis-selling of Products and Services

Insurance and Reinsurance Disputes

Intellectual Property Rights / IPR Issues

Professional Negligence

Fraud/Malfeasance Issues

Appeals

Franchise Disputes

Clinical Negligence / Medical Malpractice

Anti-Competition Claims

Personal Injury Claims

Estate Disputes

Shareholder Disputes

Breach of Fiduciary Duties

Property Disputes

Portfolios of Cases / Class Actions

Director’s Wrongdoings

Breach of Contract

Commercial Agency Disputes

Contentious Probate Claims

*including Financial Institutions and other Regulatory related claims

FUNDING TYPES

We recognise that each Civil Litigation claim is unique and that each of our clients may have various different reasons for utilising Litigation Funding facilities (such as cash-flow issues, transfer of Liabilities from Balance Sheets/ Accounts/Financial Statements or simply that the client requires for a third party to alleviate some of the arduous burden of financing or funding their Commercial Civil Litigation action). As such, Fortress Legal Finance will advise as to what type of litigation funding solution would be most suitable for each client’s own unique requirements, typically these could include a range of funding options such as:

Full Funding
A full funding solution of all of the costs (including Legal costs and After the Event (“ATE”) insurance premiums) associated with the Civil Litigation case (please note that in such circumstances Fortress Legal Finance will work on a contingency fee basis (also known as an “uplift” type of engagement) with any such contingency fee only being payable upon the successful settlement of the claim/case itself

Partial Funding
A partial funding solution of some of the costs (including Legal costs and After the Event (“ATE”) insurance premiums) associated with the Civil litigation case (again, please note that in such circumstances Fortress Legal Finance will work on a contingency fee basis (also known as an “uplift” type of engagement) with any such contingency fee only being payable upon the successful settlement of the claim/case itself

In both of the above options, our Litigation funders will review the case(s) concerned and if funding is thereafter offered then this will usually be on the basis of being on a No Win- No Fee / Non- Recourse Basis to our clients- this means that the litigation funding of the case is secured only against the anticipated successful outcome of the Commercial Litigation case/claim itself with the funder only being paid from the proceeds of the successful litigation for a pre agreed contingency or uplift factor being applied.

It is worth noting that should the Commercial Civil Litigation not be untimely successful for our client(s), then the Litigation funder would bear all of the costs themselves and as such that there would be no liability to our clients for any Costs whatsoever in that regard.

By arranging a loan or loans on a Recourse basis
We recognise that on occasion some clients may not wish to utilise the No Win- No Fee type of litigation funding model and as such Fortress Legal Finance can offer direct access to various commercial loan providers who specialise in offering loans exclusively for litigation purposes, examples as to what these loans may be utilised for include: Barristers Opinions/Advice Notes, Security of Costs Orders, Expert Reports, and various other disbursements usually associated within any Civil litigation process. In this regard, please note that we can only provide access to such loan facilities for amounts of £25,000.00 and over and we may also charge a facilitation fee which will be calculated on the basis of the level of litigation funding provided.

FUNDING SOLUTIONS

Unlike some other competitors within our marketplace, Fortress Legal Finance does not charge any fees for reviewing or advising on a client’s case or the litigation funding options that may be available to provide remedies for same. On the majority of cases we offer our services on a No Win – No Fee basis of engagement.

Our fees are generally only charged upon a successful outcome of your commercial litigation despite (or in special circumstances on completion of a funding agreement) the quantum of which will be assessed dependent upon the specific requirements of each individual claim or case and/or by Fortress Legal Finance’s agreed inclusion within any successful outcome of the commercial Civil litigation case/claim. Full details of our fee structure will be provided to each client at the point in time of Litigation funding being offered.

AFTER THE EVENT INSURANCE
Our focus is solely to provide bespoke funding solutions for our clients Commercial Civil Litigation claims/cases requirements, however as general or generic advice as part of this process Fortress Legal Finance would usually recommend that all clients consider the range of options available as may be offered by After the Event (“ATE”) Insurance.

In this regard, please note that Fortress Legal Finance is not an Insurance Broker or Insurance Intermediary or Insurer and as such Fortress Legal Finance does not provide any insurance services, including any specific advice in relation to any insurance product or service.

However a number of our senior personnel have held senior positions within many Lloyds Brokers and Lloyds Managing Agencies (including at Managing Director and Director of Finance levels) and as such we have extremely close working relationships with many After The Event (“ATE”) insurance specialists who our clients may wish to use for any After The Event (“ATE”) insurance requirements connected with the case and in this regard we would be willing to initiate an introduction of our clients to these parties.

Please note that for any such an introduction that we may make in this regard Fortress Legal Finance would usually receive a nominal amount of any brokerage or commission from the specialist provider should any such insurances be implemented (this is in accordance with usual insurance market practice) and Fortress Legal Finance will not charge any client for such a service. Please also note that all negotiations regarding any potential After The Event (“ATE”) Insurance must at all times thereafter be conducted by the client or their instructed Solicitor directly with the insurance provider that Fortress Legal Finance may introduce (or any other insurance provider should the client or instructed Solicitor so require) and not via Fortress Legal Finance.

FUNDING SOLUTIONS

Unlike some other competitors within our marketplace, Fortress Legal Finance does not charge any fees for reviewing or advising on a client’s case or the litigation funding options that may be available to provide remedies for same. On the majority of cases we offer our services on a No Win – No Fee basis of engagement.

Our fees are generally only charged upon a successful outcome of your commercial litigation despite (or in special circumstances on completion of a funding agreement) the quantum of which will be assessed dependent upon the specific requirements of each individual claim or case and/or by Fortress Legal Finance’s agreed inclusion within any successful outcome of the commercial Civil litigation case/claim. Full details of our fee structure will be provided to each client at the point in time of Litigation funding being offered.

AFTER THE EVENT INSURANCE
Our focus is solely to provide bespoke funding solutions for our clients Commercial Civil Litigation claims/cases requirements, however as general or generic advice as part of this process Fortress Legal Finance would usually recommend that all clients consider the range of options available as may be offered by After the Event (“ATE”) Insurance.

In this regard, please note that Fortress Legal Finance is not an Insurance Broker or Insurance Intermediary or Insurer and as such Fortress Legal Finance does not provide any insurance services, including any specific advice in relation to any insurance product or service.

However a number of our senior personnel have held senior positions within many Lloyds Brokers and Lloyds Managing Agencies (including at Managing Director and Director of Finance levels) and as such we have extremely close working relationships with many After The Event (“ATE”) insurance specialists who our clients may wish to use for any After The Event (“ATE”) insurance requirements connected with the case and in this regard we would be willing to initiate an introduction of our clients to these parties.

Please note that for any such an introduction that we may make in this regard Fortress Legal Finance would usually receive a nominal amount of any brokerage or commission from the specialist provider should any such insurances be implemented (this is in accordance with usual insurance market practice) and Fortress Legal Finance will not charge any client for such a service. Please also note that all negotiations regarding any potential After The Event (“ATE”) Insurance must at all times thereafter be conducted by the client or their instructed Solicitor directly with the insurance provider that Fortress Legal Finance may introduce (or any other insurance provider should the client or instructed Solicitor so require) and not via Fortress Legal Finance.

HOW WE WORK

Our team have over 60 years of combined experience of directly handling and overseeing complex and high value Commercial Civil Litigation cases.

Our team have secured exclusivity of over £120 million worth of claims. These range from various types of Civil Litigation cases, including but not limited to cases involving: Anti Competition, Fraud/Malfeasance, Breach of Contract, Professional Negligence, Medical Negligence/Medical Malpractice, Appeals, Re- Trials, Personal Injury, and Breach Fiduciary Duties including various portfolios of individuals Claims/Cases. The ability to offer the appropriate, tailored litigation solution to the problem in hand is almost as vital as the ability to then carry out that work.

THE SOURCING OF OUR CASES

Fortress Legal Finance has already created a very enviable reputation both with regard to our levels of overall professionalism and our successful resourcing of Civil Litigation case funding and complementing services, such as the provision of specialist Civil Litigation Solicitors, Barristers/QC’s and by acting as the Introducing party to the providers of After the Event (“ATE”) Insurances.

We are by no means dependant on any one source for either new case enquires or for funding of the Civil Litigation cases.

The case enquiries into Fortress Legal Finance currently emanate from the following sources:

a.) Cases referred to Fortress Legal Finance from our extremely close working relationships within various leading Civil Litigation Solicitor Practices (these cases emanating mainly from either Senior Partner and/or Head of Litigation levels).

b.) CCases referred to Fortress Legal Finance from our extremely close working relationships within various prominent sets of Barristers Chambers (these case referrals emanating mainly from either Development Director or Head Clerk or Senior Clerk levels) and their Barristers and QC’s.

c.)Cases received from specialist Claims Management Companies (“CMC’s”).

d.)Cases received from After the Event (“ATE”) Insurance specialists.

e.)The recommendation of our services from other Funders of Civil Litigation case on cases, where such cases fall outside of their own case funding criteria.

f.)Cases that have been obtained directly from original Claimants.

THE COST OF LITIGATION FUNDING

There are usually two methods that Litigation funders utilise in order to offer terms, these are:

Percentage Interest
Based upon a return of their investment within the case/claim as a fixed agreed % of any successful outcome (being settlement or damages) of the Commercial Civil Litigation action.

Or alternatively,

Fixed Fee Agreement
Based upon a complete return of their investment within a case/claim plus a multiplier of the amount that they have committed to invest within a claim/case.

MEET THE TEAM

Andy was a Specialist Investigator in the former HM Customs & Excise National Investigation, where he specialised in Tax related organised crime.

He joined KPMG’s Tax Investigation team in 2005 before moving to BDO Stoy Hayward. More recently, he was at Bark & CO, a city law firm.

During his time in the private sector Andy has acted for numerous companies and individuals in varying Tax disputes with HMRC, especially where allegations of fraud are central to the dispute.

He also represents companies with trade specific Tax issues such the alcohol trade, payroll companies and in the pension industry, advising on both disputes with HMRC and day-to-day compliance issues.

Andy handles Tax enquiries and disclosures under the Contracted Disclosure Facility (CDF), and has assisted many individuals and companies facing issues as a result of the use of Tax mitigation schemes, including Accelerated Payment Notices.

Andy is an experienced litigator in the Tax Tribunals and has an impressive record of success. He has also acted for clients on tax related matters in the High Court, and Court of Appeal.

Andy has an extensive network of close contacts in both the Accountancy and Insolvency professions and regularly advises fellow professionals on tax issues.

He is a keen but unaccomplished golfer; he also enjoys the theatre, live music and most spectator sports.

 

NOTABLE CASES:

Olympia Technologies Ltd v HMRC
Successful appeal to FTT in respect of refusal of VAT repayment.

HMRC v Livewire Ltd & Olympia Technologies Ltd
High Court appeal by HMRC in respect of the above.

Mobilx & ors v HMRC
Representing the tax payer in a test case regarding the ECJ’s Kittel test. This case involved over £8 million of VAT.

Privin Corporation Ltd v HMRC
Successful appeal to FTT in respect of refusal of VAT repayment.

Abbey Forwarding Ltd (In liquidation) v Hone, Owen & Owen
Successful defence of misfeasance proceedings brought against former directors. The background to this case was an alleged Excise fraud.

Abbey Forwarding Ltd v HMRC
Successful appeal to the FTT in relation to VAT and Excise Tax assessments.

HMRC v Roll Your Own Ltd
Challenge to a seizure of tobacco and ‘rolling’ machinery, worth in excess of £400k. In issue was whether the tobacco products produced by RYO were ‘smokable’ such as to create a duty point.

R (OAO Seabrook Warehousing Ltd & Ors) v HMRC
Judicial review of HMRC’s decision to abolish the WFE scheme in relation to alcohol export.

Stephen has a background in criminal law where he prosecuted and defended in the most serious of cases as junior alone and as leading junior. He was appointed to the Attorney General’s Panel of Prosecution Advocates for 6 years. Stephen lectures on such topics as public interest immunity for police officers, immigration officers and social workers and the interface between family law and criminal law to local authorities and police forces.

A versatile silk, Philip is a recognised leader in commercial litigation (including civil fraud and VAT/excise disputes), all areas of government law (including planning, elections, licensing and finance) and data protection/F01/privacy law.

EXPERIENCE & EXPERTISE:

Philip has extensive court and tribunal experience to the highest appellate levels. Recent major court appearances have variously been concerned with financial services, civil fraud, freezing injunctions, local government law, judicial review, planning, environmental law, privacy and data protection, and freedom of information. In addition, Philip has appeared at numerous major planning and environmental inquiries. Thorough preparation, effective use of team resources and client commitment are combined with an open style to ensure clear advice and convincing representation.

Mark has been in the Financial Services for 30 years with 26 years in a sales environment both as an IFA and in Business Development for major life companies such as Old Mutual, Prudential and Scottish Widows.

Whilst working for these companies, Mark has developed good solid relationships with various Distribution Channels and IFA Networks at director and board level, and has an extensive understanding on how to get a product to market. He has also designed and developed products for the retail market which includes designing and editing marketing literature and establishing launch campaigns.

A highly experienced leader in the Higher Education field within the UK, USA & international. Peter’s professional career has been involved in launching and growing businesses. In 12 years he was solely responsible of leading a team of 20 client relationship professionals in growing educational company Hotcourses ltd.

Peters expertise lies in product launches and project management along with commercial leadership and business development.

info@fortresslegalfinance.com

www.fortresslegalfinance.com

5 Chancery Lane, London, EC2A 1LG

0207 096 1338

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