Institutional Investor Services

SFMS provides a variety of services to institutional investors related to the monitoring and prosecution of individual and class action cases asserting causes of action for securities fraud and other breaches of legal duty. The services that our Firm provides have become increasingly important because it has become exceptionally clear that facially reputable companies and the individuals who manage them cannot always be trusted to fulfill their duties to their shareholders — even if shareholders are significant institutional investors. As the experience of the last several years has taught us in cases such as Adelphia, Ahold, Enron, HealthSouth, Parmalet and Worldcom, purportedly blue chip companies, as well as the professionals employed to manage and advise them, often engage in gross mismanagement as a result of personal avarice and/or misplaced arrogance. Securities fraud and other corporate governance litigation has emerged as an important tool for institutional investors to remedy their losses and obtain significant governance changes. SFMS is committed to assisting our institutional clients in recovering losses due to fraud and related conduct while also compelling the perpetrators of such malfeasance to adopt improved corporate governance procedures as a prophylactic means to protect against abuses in the future.

As described more fully under Monitoring Services, the Firm offers the following services to institutional investor clients:

  • Develop guidelines and policy statements regarding securities and derivative litigation, as well as other corporate governance initiatives, to meet fiduciary obligations
  • Monitor securities and related litigation that affects the client’s investments
  • Investigate and evaluate potential and pending litigation to evaluate the appropriate role, if any, for the client
  • Prepare presentations for institutional clients regarding the status of potential and pending litigation and other corporate governance initiatives
  • Provide updates regarding the settlement or other resolution of litigation, disputes and initiatives assist clients in completing appropriate claim forms and other documentation to maximize recoveries

To contact us regarding our institutional investor services, please call us toll-free at 866-540-5505 or email us at