Miami Breach of Investment Policy Statement Attorney

An Investment Policy Statement is a compact prepared jointly by a portfolio manager and a client that outlines the manner by which the portfolio manager will trade an account. It may be general, such as “The Manager will only select Large Cap Value stocks.” Or, it can be specific, such as “The Manager will only select stocks that have had positive earnings in each of the last three years and are in the S&P 100.” The best use of an Investment Policy Statement is to limit the discretion of the portfolio manager to a particular style or strategy with the ultimate idea of reducing the overall risk of the portfolio. Investment Policy Statements are not just for large pension and retirement funds, they are also used by individuals and small investors to control the trading of their portfolio manager.

If an investment manager invests client assets in a manner that is inconsistent with the Investment Policy Statement, and those investments cause losses in the portfolio, the client will likely have a valid legal claim against the portfolio manager for those losses. Contact our Miami breach of investment policy attorneys.

Carlson & Associates, P.A. has experience in handling investment fraud cases involving investment managers who breach an Investment Policy Statement.

Contact our Miami Investment Fraud Attorneys

Carlson & Associates, P.A. has years of experience helping Miami clients with investment fraud, corporate & partnership disputes, officer liability and coverage & legal and accounting malpractice. Contact us online or call 305-372-9700 for more information or assistance.