Institutional Investment Attorneys

Is Your Broker Responsible for Your Institutional Investor Fraud Losses? 

How Our Seasoned Institutional Investment Attorneys Can Help 

Shepherd Smith Edwards and Kantas ( represent institutional investors against their broker-dealers in pursuing damages for losses sustained due to broker negligence or fraud. Determining whether you should sue your brokerage firm for misconduct is always challenging even if you are an experienced investor, which is why you should speak with our savvy institutional investment attorneys today.

What Is an Institutional Investor? 

An institutional investor is an organization or entity that invests funds for others. Examples include pension funds, mutual funds, insurance companies, municipalities, retirement plans, foundations, hedge funds, charities, corporations, commercial trusts, credit unions, private equity funds, and others. This type of investor is usually considered a sophisticated investor that invests in different asset classes and financial instruments. What and how an institutional investor chooses to invest often is determined by its objectives.

Unlike retail investors, institutional investors are utilizing other people’s funds and not their own money. More funds and bigger trades are typically involved. Often, so are larger buy-ins and greater risks than what an inexperienced investor might choose or can be exposed to.

Institutional investors typically have fewer protections under the Securities and Exchange Commission (SEC) than the average retail investor. Examples of other risks involving institutional investing include the possibility of non-compliance with shareholders’ legal rights, an unclear policy when it comes to dividend payments, or potential management problems.

An institutional investor loss claim might cite fund mismanagement or irregularities, municipal bond underwriting issues involving third parties that engaged in misconduct or negligence, or other problems. We can help institutional investors with such matters.

How Broker Negligence Harms Institutional Investors 

Like all investors, institutional investors can fall victim to broker misconduct and negligence. Often, because they are experienced investors, it can be even harder to prove that they were, in fact, the victim of an unsuitable investment recommendation or a too-risky trading strategy. That is because, in theory, as sophisticated investors, they should know better and understand not just their investments but also how the market works. Yet unsuitability, misrepresentations and omissions, overconcentration, breach of fiduciary duty, and supervisory failures by a brokerage firm working with an institutional investor happen all the time.

This is why our skilled institutional investor loss claims attorneys are here to help. You deserve to have a solid securities fraud law firm representing you and fighting for your right to financial recovery.

How To Work With Our Institutional Investment Lawyers

The first step is to contact Shepherd Smith Edwards and Kantas and request your free, no-obligation case assessment. This will allow us to help you determine whether you have grounds for suing your brokerage firm in Financial Industry Regulatory Authority (FINRA) arbitration. That is the forum in which such disputes between customers and broker-dealers are heard.

If we determine that the circumstances surrounding your investor losses did involve the allegedly wrongful or careless actions of a registered representative, and we decide to work together, our investor loss law firm will begin preparing your FINRA lawsuit for you. (There is a very good chance that your brokerage firm will use the full force of its legal team at its disposal to fight your claim, which is also why you need your own experienced securities arbitration lawyers on your side advocating for your best interests while protecting your right to financial recovery.)

We will then represent you before FINRA arbitrators where we will explain and argue why you should be awarded damages from your brokerage firm and/or their registered representatives.

This is not the type of brokerage firm arbitration claim that you want to pursue on your own. Working with knowledgeable securities attorneys dramatically increases your chances of a full financial recovery. Shepherd Smith Edwards and Kantas has spent over three decades representing investors like you against the biggest firms on Wall Street.

When you hire us, you get customized securities litigation services that come from over a century’s worth of combined knowledge and experience in securities law and the securities industry. Our institutional investor lawyers will work as a team, along with our reliable legal staff and consultants, to make sure that you get the professional service and unrelenting advocacy that you need. We are committed to protecting investors and their rights.

Shepherd Smith Edward and Kantas have represented thousands of investors, including institutional investors, high-net-worth investors, ultra-high-net-worth investors, retail investors, and retirees in FINRA arbitration, mediation, and litigation. We’ve recovered many millions of dollars for our clients. Over 90% of the investors who work with us have received full or partial financial recovery from their losses.

We take the time to make sure any questions you have are answered and are here for our clients. Call (800) 259-9010 today and allow us to help you explore your legal options.



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