Is Your Business Under Regulatory Investigation?

Proper registration in the securities industry is critical and complex. If your business issues securities and is being investigated for noncompliance or is facing proceedings brought by federal or state securities regulators related to the offering, registration and sale of securities, you need an attorney fully equipped with securities law experience.

Valenti Hanley PLLC has in-depth knowledge and experience representing clients in the financial services industry. We understand both the legal and business realities that impact these complex matters. Our lawyers have a reputation for getting our clients favorable outcomes in securities-related disputes and investigations.

We have comprehensive experience representing clients in federal and state courts, as well as before the Kentucky Department of Financial Institutions, the U.S. Securities and Exchange Commission ("SEC"), the Financial Industry Regulatory Authority ("FINRA") and the Colorado Division of Securities.

The SEC and the Kentucky Department of Financial Institutions govern the offering, registration and sale of financial products or instruments considered "securities" to residents of or from Kentucky. Our range of compliance representation for corporate and individual clients facing regulatory actions includes:

  • Misrepresentation or fraud brought pursuant to Section 10(b)(5) of the federal Securities Act of 1933 and Kentucky securities statutes
  • Sales of oil and gas interests
  • Injunctions seeking to stop the offering or sale of securities
  • Failing to register securities
  • Failure to register as a broker/dealer or agent authorized to sell securities
  • Compensation disputes between issuer/agent status and commissions paid

Our firm represents clients in white collar criminal proceedings involving alleged securities fraud in state and federal court.

Progressive Investing Through Private Placement Transactions

Financial companies may offer investors private placement transactions. Private placement is a term for the process of raising capital privately from investors for any number of projects ranging from real estate developments to oil and gas development. These investments have the potential for better returns than public offerings.

Private placement companies may not have to register or meet formalities required by the public securities market. We help businesses make sure the types of securities they offer are exempt from registration. Our lawyers protect our clients' rights if the Kentucky Department of Financial Institutions or the Colorado Division of Securities alleges noncompliance, initiates an investigation or schedules an administrative hearing.

Call Us For Experienced Financial Services Industry Representation

Valenti Hanley PLLC in Louisville represents businesses and individuals facing complex regulatory work and securities matters. Call our experienced attorneys at 502-208-5017 or toll free at 866-617-6209. You may also email our firm to schedule a consultation.