Institutional Investor Claims

Filing a Claim as an Institutional Investor

Being in charge of investments, whether at your business or government entity, your responsibilities entail carrying out financial obligations to the people who count on you. Seeking professional guidance is a considerable part of securities and investments.

Assuming that investment advice is in your best interests is not always the case. Instead, you can find yourself grappling with substantial financial losses. Caused due to negligence, carelessness, or fraudulent actions of your financial advisor and their broker-dealer.

Unfortunately, it is not unusual for the external investing professionals you hired to give you sound counsel. In fact, there can be conflicting information provided. This may include making unsuitable investment recommendations or conducting trades that earned the broker and their firm high commissions while causing you significant losses.

You may have even relied on and trusted sales pitches that painted a rosy picture but failed to disclose the pitfalls and conflicts of interest while misrepresenting other material facts.

Skilled Institutional Investment Attorneys Here to Fight for You

Shepherd Smith Edwards and Kantas (SSEK Law Firm at has spent more than 30 years fighting for the financial recovery of institutional investors all over the United States. Our seasoned institutional investment attorneys represent municipalities, pension funds, endowment funds, hedge funds, charitable organizations, commercial trusts, private equity investors, corporations, retirement plans, and other institutional investors in their securities law claims against broker-dealers and their financial advisors. Call our law firm today at (800)-259-9010.

SSEK Law Firm understands that institutional investors are not the same as retail investors, so our savvy investment attorneys will be representing you should we agree to work together. We have over a century’s worth of combined experience in securities law and the securities industry.

Our committed securities litigation and arbitration attorneys can determine whether your financial advisor fulfilled their fiduciary duty to you and acted in your best interests or if they should be held accountable for the financial harm you have suffered.

Customized Securities Representation to Meet Your Legal Needs

Not all institutional investors are the same, so at SSEK Law Firm, our attorneys have the experience, skillset, and knowledge to represent each client according to their specific needs. We know how to identify what went wrong and can establish a solid plan of attack to seek redress for the identified wrongs through litigation, mediation, or arbitration.

Representing Municipalities to Boards When There Has Been Financial Harm by a Third Party Advisor

Our experts at SSEK Law Firm can make presentations to committees and advisory boards. Explaining what went wrong and how the entity in question was misled by the third-party advisor and their financial firm. This is all done as part of our due diligence as expert investment attorneys.

Part of the services we provide is the preparation of these presentations for the Board and/or any administrators. At your request, we would visit and explain what went wrong and identify any acts and omissions of the underwriter that negatively impacted your municipality.

Fighting for High Net Worth and Ultra-High-Net-Worth Individual Investors

SSEK Law Firm also represents high net worth individual investors and ultra-high-net-worth individuals in their securities litigation and FINRA arbitration claims against broker-dealers. Individual investors have a high net worth of at least $1M in liquid assets. An ultra-high net worth individual investor has at least $30M in investable assets.

SSEK Law Firm Has Recovered Many Millions of Dollars for Investors

SSEK Law Firm has represented thousands of clients in over 1000 matters in courtrooms, before arbitration panels, and in negotiating rooms all over the country. When warranted, we will partner with attorneys at an investor’s home state or town out of our pocket.

Over the years, SSEK Law Firm has recovered many million dollars on investors’ behalf. Call (800)-259-9010 or contact us online and request your free, no-obligation consultation today.

Client Reviews
"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self-respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.
"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient, and I never felt rushed. I have already told friends how wonderful he is." L.R.
"I want you to know that I very much appreciate your expertise, hard work, and guidance that led to a satisfactory resolution with Raymond James. From our first meeting, I felt "heard" and that my situation and story were respected. Every subsequent interaction I had with any of you - in person, via email, or by phone - only corroborated that feeling. What great work you do on behalf of people like me who have been wronged, yet don't know how to navigate the appeals/mediation/arbitration process as you do. I will be forever grateful." M.L.
"Good positive experience. Guided us through a difficult process and was pleased with the outcome. Everyone I dealt with was exceptional." A.G.
"Good intelligent attorneys who never miss a beat. I set my expectations high, and they delivered above and beyond. Do not miss the opportunity to let SSEK represent you. Top-notch, efficient and effective firm." S.M.
Contact Us
  1. 1 Free Consultation
  2. 2 No Recovery, No Fee
  3. 3 Over 100 Years Experience

Fill out the contact form or call us at (800) 259-9010 to schedule your free consultation.