Valenti Hanley PLLC

securities law and litigation Archives

SeaWorld settles investor class-action suit for $65 million

Seven years ago, when the documentary Blackfish was released, many people predicted that it would lead to the end of SeaWorld. The 2013 film addressed SeaWorld's treatment of its captive orcas and the impact that captivity had on their well-being -- causing them to become neurotic and violent.

Merger objections drive a huge increase in securities litigation

A lot of people are more concerned about private security than private securities. But more and more individuals and companies are looking to securities litigation as a good way to protect wealth and interests in the market.

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.

The dangers of disclosing a financial investigation to investors

If your company is under investigation by the Securities and Exchange Commission (SEC) for financial fraud, should you notify your investors? Some companies believe that transparency is important, so they disclose these investigations.

Could the Sarbanes-Oxley Act trip you up?

Most Louisville residents have never heard of the Sarbanes-Oxley Act that was signed into law by President George W. Bush back in 2002. But this comprehensive federal law — it has 11 sections — could indeed adversely impact your life if you wind up on the wrong side of the law with the Securities and Exchange Commission (SEC).

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Valenti Hanley PLLC
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Louisville, KY 40202

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