Institutional Investors and Family Offices2022-10-06T20:42:17+00:00

Institutional Investors and Family Offices

Discovering and Recovering Investor Losses for Institutional Investors and Family Offices for More than 50 Years

Wolf Haldenstein has been representing institutional investors (including public pension funds, Taft-Hartley funds, mutual funds, and hedge funds), individual investors, and family offices for more than 50 years, helping to protect their valuable assets and recover losses from securities violations and other corporate wrongdoing.  The firm is nationally recognized for litigating complex securities class actions as well as shareholder derivative and corporate governance cases that have resulted in significant recoveries and protections for investors. Wolf Haldenstein has recovered more than $7 billion for shareholders and its efforts have achieved significant corporate governance changes and increased value for shareholders. The firm also provides guidance to clients on a variety of complex investment matters and advice on best practices for protecting their assets.

Wolf Haldenstein provides specialized Portfolio Monitoring and Securities and Shareholder Litigation Services to its institutional investor and family office clients.

Portfolio Patrol

To meet the particular needs and circumstances of our clients, Wolf Haldenstein offers family offices two different portfolio monitoring services: active monitoring and passive monitoring. Portfolio Patrol is Wolf Haldenstein’s 24/7, fully secure online portfolio monitoring system that is customized for each client. The firm provides these services at no cost to our institutional investor and family office clients.

Active Monitoring

Through Wolf Haldenstein’s comprehensive active portfolio monitoring program, the firm performs real-time reviews of news, press releases, and financial information for any events that impact the institutional investor and family office client’s investments.

How it works:

  • Each investor gives Wolf Haldenstein secure and confidential read-only access to its custodial accounts or a confidential list of holdings (including purchases and sales of publicly traded securities), typically covering a period of at least five years.
  • Using sophisticated proprietary technology, Wolf Haldenstein’s highly experienced staff conducts customized reviews of news, press releases, financial information, and stock market prices for relevant developments and changes affecting each client’s own portfolio of publicly traded securities.
  • The firm also review all newly filed state and federal class actions and shareholder derivative actions that may affect its clients’ investments.
  • For each client, Wolf Haldenstein prepares a fully customized report of our findings, together with a thorough legal analysis, so that the client and its portfolio manager can make informed decisions about its investments. If the firm believes that a client’s investments have been compromised, we immediately contact you and recommend a plan to recover your losses and protect your investments.
  • When a client’s portfolio includes a security that is the subject of a newly filed state and federal class actions and shareholder derivative actions, we provide an analysis of the action and recommendations so that the client can make a fully informed decision about its litigation options.

Passive Portfolio Monitoring and Investigation

Wolf Haldenstein also provides passive portfolio monitoring and investigation after an institutional investor or family office client has learned of a possible impact on its portfolio and requests an investigation.

How it works:

  • Upon request from individual family office clients, Wolf Haldenstein uses proprietary technology to conduct a comprehensive, customized review of any news, press releases, financial information, or stock market prices that have impacted the client’s portfolio.
  • When a client requests an investigation, Wolf Haldenstein reviews news and publicly available information, including include news of restatements, restructurings, changes in accounting policies, major corporate transactions, significant hirings and firings, and other relevant macro and micro business developments.
  • Following Wolf Haldenstein’s investigation, the firm prepare a fully customized report of our findings together with a thorough legal analysis so that the client requesting the investigation and its portfolio manager can make informed decisions about its investments.

Securities and Shareholder Litigation

Wolf Haldenstein is a national leader in complex securities class actions and shareholder derivative and corporate governance cases.  The firm’s attorneys have over 350 years of combined securities litigation experience. Wolf Haldenstein has recovered more than $7 billion for shareholders and has achieved significant corporate governance changes and increased value for shareholders through securities and shareholder litigation.

Wolf Haldenstein offers three kinds of securities and shareholder litigation services for family offices: representative litigation, opt-out litigation, and individual litigation. These services are usually provided to the client on a contingent fee basis with no obligation on the client unless the litigation is resolved in its favor.

Representative Litigation

When a state or federal class action or shareholder derivative action is commenced for any investment in a client’s portfolio, Wolf Haldenstein analyzes the client’s individual portfolio loss to determine whether it may be appropriate for the client to seek to become a lead plaintiff in a class action or become a representative plaintiff in a derivative action. The analysis includes the nature and size of the client’s loss as well as the reason(s) for the loss.

The client in such as representative litigation has obligations to protect not just its own interests, but also the interests of other investors (in a securities class action) or of the company (in derivative litigation). Representative litigation is handled on a contingent fee basis, and the firm’s fees and reimbursement of expenses are subject to a court’s review and approval.  The burden on the client in such cases is relatively modest.

Opt-Out Litigation

As its name implies, when a state or federal class action is commenced for a particular investment in a client’s portfolio, the client may wish to pursue its individual claim rather than seek to take an active role as a representative plaintiff or merely a passive role as a class member.

The decision to request exclusion from (or “opt out” of) a class action to pursue individual litigation is dependent upon a variety of factors, including the size of the client’s loss, the reason(s) for the loss, and the nature and status of the pending class action.

A client may elect to opt out of the class action and pursue individual litigation while the action is being litigated or after a proposed settlement of the action has been reached.

  • Opt-out litigation offers two potential advantages over participation as an absent class member in a settled class action. First, opt-out litigation often recovers a greater percentage of the individual client’s loss than may be achieved in a class action.  Second, the attorneys’ fees and expenses for opt-out litigation are often proportionately smaller than the fees and expenses awarded in a class action.  Consequently, a client often achieves a greater net recovery through opt-out litigation than members of the class action achieve on the same claims.
  • Opt-out litigation is usually handled on a contingent fee basis, and the firm’s fees and reimbursement of expenses are the subject a private agreement with its client. The burden on the client in such cases is usually modest, but they can be more substantial depending upon the nature and timing of the opt-out.

Individual Litigation

In some circumstances, a family office or public or private management fund may be uniquely affected by adverse events that give rise to individual (rather than representative) litigation.

Wolf Haldenstein provides individual litigation services to clients on a case-by-case basis.  Such services may be offered on a contingent fee or hourly basis.

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