Valenti Hanley PLLC

securities law and litigation Archives

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).

SEC ruling backed by Supreme Court

The Securities and Exchange Commission (SEC) leveled sanctions when an investment banker allegedly misled investors, making them think that a startup company was in a far better financial position than it really was. The case ended up before the U.S. Supreme Court, which backed the SEC by upholding those sanctions.

How do I choose my securities law attorney?

Choosing a securities law attorney should not be a difficult process, but it also should be one in which you do not glaze over. You need to make an informed choice and one that sees you interview or meet with multiple attorneys before making your decision. Your investments are important to your future. You want to choose an attorney who knows the law and will fight for your rights.

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