Louisville, Kentucky, Securities Litigation Attorneys

The Securities Exchange Acts of 1933 and 1934 were integral in shaping modern-day securities litigation and arbitration proceedings. The talented legal team at Valenti Hanley & Robinson PLLC, offers individuals and brokers effective legal representation during these proceedings. We represent clients in arbitration before the NASD, the New York Stock Exchange, and any other self-regulating body. We also represent clients that may become the target of investigations or proceedings brought by federal and state securities regulators relating to the offering of securities.

Contact a securities litigation lawyer from our firm to discuss your specific securities concerns.

The NASD (National Association of Securities Dealers) has authority from the Securities and Exchange Commission (SEC) to regulate people and entities in the US securities industry. Among other issues, the Securities Exchange Acts of 1933 and 1934 prohibit deceitful, misrepresentative, and fraudulent behavior and require entities to regularly report to the public.

Broker Representation

Brokers have the fiduciary duty to refrain from deceitful, misrepresentative, and fraudulent behavior. Our experienced securities litigation attorneys represent brokers who allegedly breached their fiduciary duties, as well as individuals who believe their brokers have acted in a fraudulent manner. We regularly represent clients in litigation and arbitration with issues that include:

• Churning accounts or excessive trading
• Unsuitable recommendations (suitability)
• Statement reviews
• Account reviews
• "Bad advice" from a broker
• Failure to disclose risks
• Unauthorized transactions

Investor Representation

If you see something suspicious in your account, contact our firm. Our experience in securities litigation gives us an edge on the ability to spot inconsistencies and fraudulent activity. Additionally, brokers are required to disclose all commissions. We represent individuals who have reason to believe their brokers are conducting business unethically, as well as brokers who are accused of breaching fiduciary duties.

Offerings

The Securities and Exchange Commission and its Kentucky counterpart (Office of Financial Institution) regulate the offering of any financial products or instruments to residents of or from the Commonwealth of Kentucky which fall within the definition of “securities.” Our experienced legal team has represented many clients with respect to their rights and duties pertaining to the offering of securities. We have specifically represented clients in the following matters:

• Actions for fraud or misrepresentation brought pursuant to Section 10(b)(5) of the federal Securities and Exchange Act of 1933 and its Kentucky counterpart (KRS Chapter 292)
• Actions relating to the offering of oil and gas interests in or from Kentucky
• Injunction actions seeking to stop the offering of securities

Securities litigation and arbitration are serious legal proceedings that all parties involved will take seriously. Shouldn't you? When you need aggressive and knowledgeable representation in securities law, contact Valenti Hanley & Robinson PLLC.