Valenti Hanley PLLC

December 2019 Archives

More individuals and companies may invest in startups soon

On Dec. 18, the U.S. Securities and Exchange Commission (SEC) announced that they plan to redefine the terms "qualified institutional buyer" and "accredited investor". They also highlighted their plans to allow additional institutions and individuals to invest in startups than have been allowed to do so previously.

Business courts promise to make litigation easier in Kentucky

Business is booming in the Bluegrass State. The high rate of business formation in Kentucky, combined with the influx of existing companies' operations into the state, is good news for local economies and would-be employees alike.

Who is your financial advisor actually working for?

When you met your financial advisor, everything seemed great. They wore a suit, shook your hand, made small talk, put you at ease and demonstrated that they had the knowledge and experience you were looking for. You wanted to find someone who would help you get the most out of your money, especially as you get closer to retirement, and you thought you had found that person.

Beware of excessive trading of your securities

If you have an investment portfolio, then you likely realize that the primary way your financial advisor earns money is by taking a commission by buying and selling securities on your behalf. While your financial advisor has a fiduciary duty to make choices that are in your best interest, some portfolio managers engage in impropriety such as excessive trading or churning accounts. This isn't only illegal, but it can be costly for investors.

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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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