Valenti Hanley PLLC

January 2019 Archives

Did a professional mismanage your investment and lose your money?

Saving and investing money, whether you intended it for retirement, a nest egg or your child's education, is a smart financial move. Investing often means taking a risk with that capital in order to earn a high rate of return. Unfortunately, the unprofessional behaviors of others can impact the value of your savings or investments.

Protect your investments by keeping a close eye on your portfolio

Investors should be able to count on their financial advisors to do what is in their clients' best interests. While many of them do what they should, there are some who are very self-serving. Instead of advising clients about what is best for the investor, they look at things from a selfish perspective and try to do what is going to make them the most money. In some cases, they will even take money that the investor thought was being added to their portfolio.

How does the law protect elderly investors from financial fraud?

While anyone can get scammed by a financial advisor, elderly people are particularly vulnerable to being taken advantage of in financial transactions. With that in mind, the Kentucky government established the Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention program.

Protect your professional image against negative accusations

People who are involved in handling client investments know that there are often some complex elements associated with these duties. Trying to ensure that you are always in compliance with applicable laws and regulations can be complicated. There may be times when you need to answer for your actions to the Kentucky Department of Financial Institutions, Colorado Division of Securities, New York Stock Exchange, Financial Industry Regulatory Authority or U.S. Securities and Exchange Commission. In some cases, courts might also be involved.

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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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