Monitoring and Safeguarding Institutional Investors’ Equity and Other Investments to Identify Losses
Shepherd, Finkelman, Miller & Shah, LLP (SFMS) attorneys and other professionals provide a variety of services to monitor and safeguard an institutional investor’s equity and other investments in order to identify losses that may have been suffered as a result of potential violations of state and federal securities laws, as well as related legal obligations. The Firm prepares periodic reports for its clients regarding such potential violations of state and federal law and, at times, may recommend to an institutional investor that it institute individual action or serve as the “lead plaintiff” in class action litigation in order to recover its losses. An institutional investor that chooses to engage the Firm never has an obligation to pursue litigation that may be presented by SFMS for review and consideration. Rather, as part of its services, the Firm periodically informs its institutional clients of potential securities fraud and similar actions that may affect a client’s investments and the institutional client chooses whether to pursue any further action at that time. The Firm generally provides these monitoring services to institutions that choose to engage the Firm at no cost or other obligation on the part of the institutional investor.
The services that we provide include the following:
- (a) we work with our institutional clients to develop guidelines and policies with respect to securities litigation, including thresholds in both quantitative and relative terms to trigger an evaluation of whether (1) an investigation is warranted, and (2) the client should consider legal action;
- (b) we monitor the filing of other securities litigation to ensure that our institutional clients are (1) aware of cases affecting their investments, and (2) able to protect their rights by, among other things, seeking appointment as a “lead plaintiff” or class representative in securities litigation;
- (c) we evaluate potential and pending litigation, prepare presentations regarding the strength and weaknesses of such cases utilizing the skills and expertise of our attorneys, investigators, forensic accountants and other experts, and make recommendations to the institution’s staff or other designee as to the available options and reasons weighing in favor and against the available options, thereby assisting the institution in fulfilling its fiduciary duties and creating a record of the same;
- (d) when appropriate, we litigate cases (both individually and on a class action basis) on behalf of institutional investors until we are able to obtain a favorable outcome through hard-fought settlement negotiations or trial, if necessary; and
- (e) we ensure that our institutional clients receive updates regarding settled securities class actions so that all necessary claim forms and other paperwork can be timely completed and, when appropriate, assist in completing such claim documentation.