Colorado Institutional Investor Attorneys

We Work With Pension Funds, Mutual Funds, Foundations, Endowment Funds, Retirement Funds, Hedge Funds, and Others To Pursue Their Financial Recovery From Broker-Dealers

Our Colorado Institutional Investor Attorneys at Shepherd Smith Edwards and Kantas represent pension funds, endowments, charities, and other institutions in recovering losses caused by broker-dealer negligence or misconduct. These securities lawyers guide clients through FINRA arbitration to counter sophisticated investor defense tactics and pursue full financial recovery, including compensatory damages and legal fees.

For more than 30 years, Shepherd Smith Edwards and Kantas Colorado Institutional Investor Attorneys (investorlawyers.com) have represented institutional investors throughout the Denver area and the surrounding Colorado cities in recouping the losses they sustained because their brokers were negligent or careless. Recognized for our skills in dealing with the most complex kinds of securities claims against broker-dealers, our securities law firm has a collective more than 100 years of experience in securities law and the securities industry. We are seasoned Denver, CO institutional investor loss attorneys that have won awards or negotiated settlements for thousands of clients.

Why Do Institutional Investors Hire Brokers?

Colorado institutional investors are entities that pool and invest the money of clients, shareholders, contributors, policyholders, and other members. They tend to execute large block trades. Because institutional investors are considered qualified buyers or sophisticated investors, they can take part in restricted securities and private placements that individual investors normally can’t participate in.

Examples of institutional investors: foundations, municipalities, private trusts, corporate treasuries, mutual funds, charities, mutual funds, hedge funds, retirement funds, and other entities that manage money for others.

Institutional investors may hire financial advisors to help them:

Execute large volume trades.
Generate deep research and analyst insight.
Obtain anonymity and discretion so that certain trade activities don’t become public knowledge.
Acquire expert advice regarding specialized investments.
Deal with asset custody, securities lending, clearing, and more.

When Institutional Investors in Colorado Suffer Losses Because of Broker Misconduct

Colorado institutional investors may be sophisticated investors, but this doesn’t make them immune to sustaining losses caused by the actions of their financial advisor. An institutional investor can fall victim to different kinds of broker misconduct or negligence:

Unsuitable investment and strategy recommendations
Material misrepresentations and omissions
Investment fraud
Breach of fiduciary duty
Inadequate disclosures
Breach of contract
Negligence
Gross negligence
Misappropriation
Investment fraud
Supervisory failures
Overconcentration
Excessive trading
Excessive fee layering
Selling away
Supervisory failures
Lack of compliance

This can lead to serious losses not just for the institutional investor but also for its many members and their beneficiaries. Our Colorado institutional investor lawsuit lawyers are well aware of the ramifications and we are here to help.

Can a Colorado Institution Investor Sue Their Broker-Dealer?

If you suspect that your broker played a part in causing your institutional investor losses, you may be able to sue them in FINRA arbitration. Just because you are a sophisticated investor doesn’t mean your financial advisor doesn’t owe you certain obligations when you work with them.
There are laws in place that grants institutional investors and accredited investors legal protections from the fraudulent or careless behaviors of their financial advisors. However, there are broker-dealers that will try to invoke the sophisticated investor doctrine. They will argue that an institutional investor should have known on their own when an investment recommendation was unsuitable or their money could be in trouble. This is why it is crucial that you hire knowledgeable institutional investor lawyers that know how to protect your legal rights while building a solid arbitration claim for you.

Shepherd Smith Edwards is well aware of the kinds of strategies the attorneys for brokerage firms may use to try getting out paying you anything. Many of us are former brokers who quit that job because we didn’t like how many financial advisors were treating investors. We now work on protecting investors and fighting for their financial recovery.

What Kind of Financial Recovery Can An Institutional Investor Win With the Help of a Trusted Denver Securities Law Firm?

Compensatory damages, such as net out-of-pocket losses, market adjusted damages, and rescission.
Legal fees and litigation costs
Pre- and Post-judgment interest
Punitive damages

It is important to note that not every investor claim is successful. This is one of the many reasons why who you hire to represent you matters. Our Colorado institutional investor lawyers know how to maximize our clients’ chances for a full financial recovery.

Talk To Our Colorado Institutional Investor Attorneys Today

To schedule your free, no obligation call (720) 439-2827 or (800) 259-9010 today. You can also reach us online.

1700 Lincoln St #2710
Denver, CO 80203