Portfolio Monitoring and Case Analysis

Kaplan Fox provides its clients with a leading edge portfolio monitoring system that determines if a fund or portfolio has been damaged by securities fraud. In conjunction with your custodial bank and in the strictest of confidence, Kaplan Fox monitors clients’ investments on a real-time basis, informing them of pending securities litigation, advising them of their interest in each case, and helping them submit claims in any case where there has been a recovery. A detailed analysis of the legal and factual issues of the case is provided to the client.

Knowledge Equals Power: Once securities litigation starts, an institutional investor has only sixty days to decide whether to serve as a lead plaintiff. In this short period of time, investors must understand all the aspects of an often complex matter. Our securities litigation attorneys counsel clients through the assessment of the merits of each potential case, determining loss estimates, and other corporate governance considerations as well as help determine whether they should serve as lead plaintiff, bring an individual action or simply remain a member of the class. Because this process is so intense and involved, securities litigation counsel should be retained in advance of any actual proceeding.

Kaplan Fox works with clients to determine their level of involvement and manages clients’ time commitments to a case based on their needs and interests. The firm always keeps clients informed of the progress of the litigation, any upcoming court and filing dates, and settlement negotiations. An institutional investor or its general counsel may then be as actively involved as he or she chooses.

In addition to seeking meaningful recoveries for clients through legal action, institutional investors have accepted the challenge to enforce real change in corporate governance, and create a more level playing field for investors through the courts.

“[I]t is hard to imagine that there is ever a buyer or seller who does not rely on market integrity. Who would knowingly roll the dice in a crooked crap game?” said Justice Blackmun in the U.S.Supreme Court case of Basic Inc. v. Levinson.

Fraud should never be part of the investment equation. However, the portfolios of institutional investors have suffered large losses as a direct result of false financial reporting and the failure of corporate officers to live up to their fiduciary responsibilities. Institutional investors and their trustees are increasingly taking steps to seek recovery as a result of losses sustained due to fraud.

More and more, institutional investors are turning to Kaplan Fox to evaluate and litigate their securities fraud claims. The firm’s 30 year track record as one of the leading class action law firms in the United States is based on its extensive experience litigating some of the nation’s most complex securities and accounting fraud cases and maintaining a staff with substantial expertise in portfolio monitoring and analysis. We also utilize forensic accounting techniques and our staff includes a former Certified Public Accountant who was employed by one of the major accounting firms.