Shepherd Smith Edwards and Kantas Provides Seasoned Securities Representation When It Comes To Pursuing Damages From Brokerage Firms

Shepherd Smith Edwards and Kantas is a Lexington, Kentucky-based securities law firm that represents institutional investors seeking to recover portfolio losses caused by broker misconduct, negligence, or fraud. Utilizing their team’s extensive arbitration experience and former brokerage industry background, the firm handles complex legal claims on a contingency basis against major US broker-dealers.

If you are an institutional investor in Kentucky who has suffered portfolio losses while working with a financial advisor, our Lexington, KY securities law firm can help you explore your legal options. The Kentucky Institutional Investor Recovery Law Firm of Shepherd Smith Edwards and Kantas has been exclusively fighting for investors while protecting their right to financial recovery for decades. We represent pension funds, endowment funds, hedge funds, municipalities, commercial trusts, corporations, retirement plans, and many other institutional investors in the Bluegrass State against US broker-dealers, including large Wall Street firms.

Why Do Institutional Investors Hire Brokers?

Institutional investors are considered sophisticated investors. Many of them are often tasked with actively investing funds for others.

It is not uncommon for an institutional investor to retain the services of a broker-dealer to facilitate large trade executions, gain market access they might not be able to obtain otherwise, secure optimal pricing, ask for valuation help, receive proprietary information and analysis, get clearing support, or shield their trading intentions from the public.

Why Would An Institutional Investor Want To Sue Their Broker?

Even with all of their investing experience, institutional investors can also fall victim to broker misconduct or negligence. Here are a few examples of how this can happen:

Misrepresentations of liquidity and other risks, especially with the kinds of complex investments that are sold to institutional investors.
Concealment of high commissions, excessive markups, and other kickbacks.
Valuation fraud
Unauthorized trading.
Excessive trading.
Overconcentration.
Bid-ask spread manipulation, which is when a financial advisor misreports execution prices or secretly widens a spread while pocketing the difference on large trades.
Front-running. This is when a financial advisor uses their own accounts to make trades before a huge institutional block order and makes money off the ensuing price movement.
Negligence.
Breach of fiduciary duty.
Due diligence failures.
Failure by the brokerage firm to supervise their financial advisor and their activities in your account.

Why Do I Need To Hire A Knowledgeable Kentucky Institutional Investor Law Firm To Represent Me?

Investment loss recovery claims made by institutional investors can be complex. Having a knowledgeable Lexington, KY securities law firm on your side can help you manage the intricacies involved while allowing you to maximize your chances for financial recovery.

As an institutional investor, the stakes can be high and not just for the Claimant:

If you are a pension fund, retirement fund, or endowment, you likely have to answer to stakeholders, beneficiaries, or a board.
Failing to do everything you can to properly pursue your broker over portfolio losses can expose a fund manager to legal liability.
A savvy institutional investor claim lawyer will understand the nature of intricate asset structures, multi-layered transactions, specialized investments, and how to identify where your financial advisor may have failed you.
The broker-dealer responsible for your losses will undoubtedly have their own defense attorneys fighting to protect your interests. You want our own securities representation doing the same.

Why Work With Our Lexington, KY Institutional Investment Loss Recovery Law Firm?

The Kentucky Institutional Investor Recovery Law Firm of Shepherd Smith Edwards and Kantas has dealt with more than 1000 matters in arbitration, mediation, and litigation.
We have expert FINRA arbitration attorneys, as well as trusted litigation attorneys and skilled settlement negotiators at our Kentucky securities law firm.
We understand securities law, as well as specialized rules that might be at play with your kind of institutional investor lawsuit.
You want to retain experienced institutional investor lawyers who know how to come up with the right strategies to help you win.
When you retain us, you are hiring everyone at our firm to fight for you.
Many of us are former financial advisors who quit that industry because we wanted to protect investors. We use what we know as ex-insiders of the brokerage industry to help institutional investors like you fight for damages and other financial recovery you are owed.

Explore Your Institutional Investor Losses With One of Our Kentucky Securities Lawyers Today:

Call our Kentucky Institutional Investor Recovery Law Firm at (866) 931-7628 or (800) 259-9010 or contact us online. Because we work on a contingency basis, we are only paid if we win an award or negotiate a settlement for you.

Kentucky Institutional Investor Recovery Law Firm
216 E Reynolds Rd #C
Lexington, KY 40517