Providing Quality Securities Representation Throughout The Magnolia State For Over 35 Years

The securities law firm Shepherd Smith Edwards and Kantas is offering free case consultations to Mississippi institutional investors, such as pension funds, municipalities, and banks, who suffered significant financial losses due to broker misconduct or negligence. The firm utilizes its 35 years of experience to help these sophisticated entities pursue financial recovery through FINRA or private arbitration.

If you are an institutional investor in Mississippi who suffered significant losses while working with a financial advisor, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you explore your legal options. Depending on whether broker misconduct or negligence was involved, you may be able to sue for damages.

Contact our Gulfport, MS securities law offices today.

Who Are Institutional Investors?

The term “institutional investor” refers to an organization or entity that oversees and invests significant amounts of funds for beneficiaries, clients, or members. Institutional investors are considered sophisticated investors. They often buy or sell investments for those they service. They aren’t subject to as strict of oversight as retail investors.

Examples of Institutional Investors:

• Pension Funds
• Mutual funds
• Retirement funds
• Hedge funds
• Endowment funds
• Charities
• Organizations
• Foundations
• Municipalities
• Banks
• Credit unions
• Sovereign wealth funds
• Insurance companies
• And more.

Why Would An Institutional Investor Need To Hire A Broker?

Even though an institutional investor is a sophisticated investor, they often will turn to brokers to conduct huge trades, gain access to market research they otherwise might not be able to obtain, secure regulatory anonymity, avail of clearing and settlement services, engage in securities lending, and other brokerage services.

Unfortunately, even institutional investors can fall victim to financial advisor fraud or negligence. When they do, the losses sustained, including to those whose money they are managing and investing, can be massive.

What Is An Institutional Investor Recovery Lawsuit As It Pertains To Suing A Broker?

• This is an investment loss recovery claimfiled by institutional investors who have fallen victim to financial advisor fraud or carelessness.
• Institutional investors often serve as fiduciaries themselves and they can be responsible for the investment or retirement money of their beneficiaries, clients, or members.
• When an institutional investor suffers significant losses, so do its beneficiaries, members, or clients.

Mississippi Institutional investors, like retail investors, may end up filing an investment loss claim over:

• Unsuitable investment recommendations.
• Poor portfolio management.
• Bad investing advice.
• Misrepresentations and omissions
• Negligence.
• Gross negligence.
• Breach of fiduciary duty.
• Breach of contract.
• Unauthorized trades.
• Excessive trades.
• A too risky investment strategy.
• Vicarious liability.
• Failure to supervise.
• And more.

How Do I Sue My Broker For Institutional Investor Fraud?

• First of all, you need to determine whether you have grounds for filing a lawsuit against your financial advisor. To do this, you can speak with one of our Gulfport, Mississippi, institutional investor loss recovery attorneyswho can help you assess what happened and if there was any role your financial advisor might have played that could make them liable.
• If it appears that a brokerage firm or their registered representative engaged in some kind of broker misconduct or negligence, it is important to look at your account agreement to see if you signed a pre-dispute arbitration clause. If you did, FINRA arbitration or private arbitration is likely where you will make your claim for financial recovery.
• It is essential that you hire seasoned Mississippi institutional investor lawyers to represent you. It doesn’t matter whether your broker is located outside the state.
• With any kind of broker fraud case, there can be a lot at stake for those seeking to pursue damages. Not only that, but your financial advisor will have their own legal team protecting them. You need your own securities law team fighting for you while ensuring your legal rights are upheld.
• Retaining skilled Mississippi securities lawyersto make your case can maximize your chances for a full financial recovery.

Why Should I Hire Shepherd Smith Edwards and Kantas to Represent My Institutional Investor Case?

• We are a nationally recognized and experienced securities law firm that has been exclusively representing investors since 1990.
• Many of us are former brokers who quit that job because we didn’t like the many unsavory brokerage practices that were harming investors. We now use what we know about that industry when representing investors against their financial advisors.
• Our Mississippi securities law firmhas more than 100 years of combined experience in securities law and the securities industry.
• We have represented many investors, including institutional investors with complex and large claims against breakage firms, in this state and all over the US.
• The majority of our Clients have been paid awards or settlements because of our skilled and dedicated efforts.
• We work on a contingency basis. This means Shepherd Smith Edwards and Kantas is only paid if you get your financial recovery.

 

Contact Our Mississippi Institutional Investor Loss Lawyers

Call our Mississippi Institutional Investor Loss Lawyers at (228) 206-2493 or (800) 259-9010 or contact us online to request your free case consultation.

2118 18th St #100
Gulfport, MS 39501