Investment Practice

Investor Claims

A brokerage firm or broker/advisor can be held liable if that firm or broker makes an unsuitable recommendation regarding your portfolio, a strategy or an investment. All recommendations have to be reasonable in light of the investor's goals, financial wherewithal, length of life, distance to retirement, and desire for undue risks. Recommendations have to be in the best interest of the clients, not the firm or broker. The firm and advisor must conduct significant due diligence before any recommendation. If an advisor misrepresents material facts or omits to disclose material facts to the investor regarding an investment, and that client subsequently loses money on that investment, the firm and advisor may be held liable.. Often the misrepresentations or omissions disguise the risk associated with a particular investment. A broker has a duty to fairly disclose all of the risks associated with an investment.

Institutional Investor Claims

Our skilled investor claims attorneys work with clients in a variety of cases revolving around institutional investor claims, including pension fund mismanagement, municipal bond underwriting issues, hedge fund irregularities, and more. When a person in a position of authority, who is tasked with a duty relies on a third party to his or her detriment, action must be taken to rectify the wrongdoing. As the CFO of a Company, a Bank or a Credit Union, Board member of a Municipality, or Trustee in charge of a Pension Fund, you work hard to fulfill your obligations for the people that count on you. In that quest you sought professional guidance assuming you would receive guidance that was in your entity's best interest. That is not always the case.

Financial Product Failure

These days many people are professionally trading accounts for a living. Perhaps you are a hedge fund manager or handle the trading for a large Trust or group of individuals. You have to make quick decisions, and are highly reliant on consistently updated data. As a professional, you may also utilize algorithms and other trading strategies. Firms may not have the requisite platforms they advertised, or these entities had flawed software. Often times there are failures in execution which lead to disastrous results.

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.
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