Valenti Hanley PLLC

October 2018 Archives

What are some signs that my financial planner is up to no good?

One of the reasons people let financial planners manage their investment portfolio is because they believe that they're trustworthy as they're licensed by the state. They often belong to professional organizations that have high ethical standards that they must meet as well. There are always bad apples in the bunch, though. If they take certain courses of action or exhibit questionable practices, you may want to reconsider your decision to work with them.

Disclosures provide vital information about financial advisers

Trying to decide on a financial adviser is a huge undertaking. You need to make sure that you find one who can work with your style and who has your best interests in mind. Unfortunately, there are some that are only out for their own financial gain, which can harm your finances.

Don't stand for unethical behavior from your advisor

As an investor, you count on your advisors to do things that are in your best interest. You certainly don't think that they are going to be acting selfishly with your money. When you do find out that they aren't behaving in an ethical manner, you need to take action. We can represent you in situations like this.

Regulatory investigations must be handled carefully

When your company is being investigated for regulatory violations, it is imperative that you make a plan for handling the matter. You shouldn't do anything that could incriminate the company and you need to ensure that everyone is acting in a reputable and lawful manner.

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Valenti Hanley PLLC
401 West Main Street
Suite 1950
Louisville, KY 40202

Toll Free: 866-617-6209
Phone: 502-208-5017
Fax: 502-568-2101
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