Valenti Hanley PLLC

securities law and litigation Archives

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).

10 factors that could lead to financial loss and litigation

When you suffer losses in your investment portfolio that you believe goes beyond the typical actions of the market, you could have some legal recourse. There are several factors that could have contributed to your losses for which you can seek relief.

The importance of securities laws and securities attorneys

Investing nearly always carries some risk. However, there are numerous state and federal securities laws that publicly traded companies and securities professionals must abide by. These help prevent investors from putting themselves at unnecessary risk due to false or incomplete information provided by companies or from less-than-honest brokers and other securities professionals.

Lyft investors file class-action suit shortly after its IPO

Initial public offerings (IPOs) can be tricky things. Calculating the value of a stock before it becomes available to the public for purchase isn't an exact science. Uber's IPO earlier this month was widely considered to be a "flop" as it quickly dropped below its IPO price -- although it has since rebounded somewhat.

What are brokers' responsibilities to investors?

There are plenty of do-it-yourself options out there for people who want to buy stocks and other types of securities. However, many investors turn to brokers for their experience and knowledge. Brokers, like other types of professionals, owe a duty of care to their clients. They are governed by the Financial Industry Regulatory Authority (FINRA).

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

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