Florida Institutional Investor Fraud Law Firm

From our Tampa, FL securities law office, Shepherd Smith Edwards and Kantas (investorlawyers.com) works with institutional investors to recoup their losses caused by financial advisor fraud, broker misconduct, or negligence. We are a seasoned Florida institutional investor fraud law firm that has more than 100 years of collective experience in securities law and the securities industry.

Our skilled institutional investment loss recovery attorneys have successfully handled complex claims for our institutional investor clients against large Wall Street firms and other broker-dealers to recoup awards and settlements for them in arbitration, mediation, and litigation. Contact us today to request your free, initial case consultation.

What Is an Institutional Investor?

A professional investor that pools together a lot of money to buy securities and other investments for its members, clients, or beneficiaries.

Known for making big trades for those they represent.
Usually managed by experienced, expert investment professionals.
Generally considered sophisticated investors and assumed to have the skills and experience to be able to analyze the risks involved in investments they might make.
Usually allowed to invest in risky or unregulated investments.
Will typically have high market leverage that can allow them to negotiate for lower fees.
Their transactions, many of which occur on large exchanges, can greatly affect investment prices.
Not subject to as many regulatory protections as retail investors.

Examples of Institutional Investors:

Union funds
Public pension funds
Endowments
Foundations
Hedge Funds
Charitable organizations
Private Equity investors
Commercial trusts
Retirement funds
Corporations
Commercial banks
Insurance companies
And more.

Why Do Institutional Investors Hire Brokers?

These sophisticated investors will often hire a financial advisor to help them execute large-volume trades, provide expert advice, research and market intelligence, record-keeping, clearing, access to certain investment opportunities, compliance, risk management, and more.

I’m An Institutional Investor in Florida. How Do I Know If I Have a Broker Fraud Claim?

Just because institutional investors are considered sophisticated investors does not mean that they are immune to falling victim to broker misconduct or negligence, including unsuitable investment recommendations, misrepresentations and omissions, breach of fiduciary duty, breach of contract, selling away, unauthorized trades, and more. Not only that, but there are bad brokers out there who will purposely seek to defraud their customers, regardless of whether they are novice investors or sophisticated ones.

The first step is to contact our savvy Florida institutional investor fraud attorneys so that we can assess the cause of your losses and if financial advisor fraud or negligence was involved.

Why Should A Florida Institutional Investor Hire A Broker Misconduct Attorney?

Investment loss recovery claims involving institutional investor claimants against brokers are considered complex cases. Not only do you have to prove misconduct or negligence, but also you must demonstrate how your financial advisor’s actions were responsible for causing your significant losses. Retaining our seasoned Florida institutional investor fraud attorneys to represent you can maximize your chances for a full financial recovery.

Institutional investor broker fraud cases will usually involve losses related to complex investments that your securities lawyer needs to understand. Not only that, but proving that unsuitability was involved, especially for an institutional investor, can be challenging,

Shepherd Smith Edwards and Kantas knows how to demonstrate whether the investment strategy that your financial advisor recommended or their handling of your investments caused your investment losses.

Many of us are former brokers who quit that job because we didn’t like the way investors were treated.
We are familiar with many of the signs of institutional investor broker fraud, and we know how to maximize your chances for a full recovery.

What Can An Institutional Investor Recover in A Broker Fraud Lawsuit?

Typically, disputes between brokers and institutional investors are filed in FINRA arbitration. You may be entitled to:

Compensatory damages
Rescission
Punitive damages
Disgorgement
Payment of your legal fees

This is not the kind of legal claim you want to make without knowledgeable institutional investor recovery attorneys fighting for you if you want to get your money back and any other compensation to which you are entitled.

Explore Whether You Have Grounds for a Florida Institutional Investor Fraud Case

When an institutional investor falls victim to investment scams or broker fraud, it isn’t only the entity investor that suffers. Its members, clients, and even beneficiaries stand to lose as well. Even if your broker did not purposely defraud you, they had an obligation to properly manage your portfolio and protect you from scams.

Call (813) 560-2992 or (800) 259-9010 or fill out this online contact form.