Exceptional and accessible legal representation across Kentucky and Nationwide

EXCEPTIONAL AND ACCESSIBLE LEGAL REPRESENTATION ACROSS KENTUCKY AND NATIONWIDE

Securities Law Services In Colorado And Nationwide

Michael A. Valenti is licensed and admitted to practice law in all federal and state courts in Colorado and Kentucky, and in several federal courts in other jurisdictions. He and his law firm, Valenti Hanley PLLC, maintain a comprehensive securities law practice that is national in scope. He and his firm have recovered millions of dollars on behalf of investors who have lost money at the hands of unscrupulous financial advisors and financial services firms. Many “niche” securities law practices focus on only one aspect of securities law, such as representing investors who have lost money. Mr. Valenti and his team offer a much broader array of legal services in the securities law arena. Through his 33 plus years of practice experience representing both individuals and businesses, Mr. Valenti has acquired invaluable knowledge that covers a myriad of securities law issues. His in-depth knowledge and experience allow Mr. Valenti to bring a unique perspective to each client’s securities law issue The favorable results which Mr. Valenti and his team have obtained for his clients,  have been the subject of news articles in national and local publications. More information about the services offered by Mr. Valenti and his team in securities law matters and his track record of results is provided below.

Representing Investors Who Have Been Victimized By Unscrupulous Advisors Or Other Individuals

Our attorneys have recovered millions of dollars in damages on behalf of investors against financial firms, their agents, and other unscrupulous parties who have defrauded investors or otherwise mismanaged their money. The investors our firm represents are located throughout the country as well as overseas.

Holding Financial Advisers And Their Firms Accountable

Some financial advisers take inappropriate actions with their clients’ money, particularly when it comes to elderly clients. Mr. Valenti and his firm represent domestic and international investors with securities-related claims in federal and state courts, and with arbitration claims before the Financial Industry Regulatory Authority (“FINRA”) as well as other private arbitration bodies. Among the claims handled by Mr. Valenti and his firm against both national and small firms are:

  • Unsuitable recommendations (suitability)
  • Financial abuse and scams directed at elderly clients
  • Unauthorized trading and transactions
  • Breach of fiduciary duty/fraudulent conduct
  • Negligence/failure to disclose risks
  • Churning accounts or excessive trading
  • Failure to supervise agents of broker-dealers
  • Statement/account reviews

Representing Clients In Regulatory Matters And Investigations

Mr. Valenti and his team represent clients in securities-related regulatory disputes and investigations before the Financial Industry Regulatory Authority (“FINRA”), the U.S. Securities and Exchange Commission (“SEC”), the Kentucky Department of Financial Institutions, the Colorado Division of Securities, other regulatory bodies, and in federal and state courts. They have invaluable experience and knowledge in representing clients who became the target of investigations or proceedings brought by federal and state securities regulators relating to the offering, registration and sale of securities. Mr. Valenti has also represented individuals and business clients in white collar criminal proceedings in federal and state court involving allegations of alleged securities fraud. Mr. Valenti and his team understand both the legal and business realities that impact these complex matters.

Our range  of compliance representation for corporate and individual clients facing regulatory actions include:

  • Misrepresentation or fraud brought pursuant to Section 10(b)(5) of the federal Securities Act of 1933 and Kentucky securities statutes
  • Sales of unregistered securities
  • Injunctions seeking to stop the offering or sale of securities
  • Exemptions to registration of securities
  • Failure to register as a broker/dealer or agent authorized to sell securities
  • Compliance issues involving issuer/agent status and commissions paid

Representing Financial Advisers In Disputes With Their Broker-Dealers

 Valenti Hanley PLLC represents financial advisers in a variety of disputes with their broker-dealer or advisory firm employers, including claims under employment agreements, promissory notes and in compliance-related matters.

Complex disputes often arise when a financial adviser’s employer made promises to pay “upfront money,” if the adviser joined their firm and brought their clients with them. These signing bonuses frequently turn out to be a promissory note to repay the broker-dealer if the adviser leaves the company before a certain period of time.

Financial adviser disputes are intricate and best solved with the help of an experienced financial industry attorney through negotiation, arbitration or litigation. Mr. Valenti and Valenti Hanley PLLC have comprehensive experience in this industry and represents financial advisers and investment advisor representatives in a variety of disputes with their broker-dealer and advisory firm employers, including claims involving:

  • Recruitment tactics
  • Employment agreements
  • Sign-on bonuses
  • Repayment of promissory notes
  • Other compliance-related matters
  • Selling away and other alleged violations of FINRA rules
  • False, derogatory, and/or defamatory information on Form U5

Broker-dealers who leave financial advisers in a vulnerable position need to be held accountable for breaking their promises and other unethical practices. Our firm has in-depth knowledge of challenging RIAs and broker-dealers and protecting the rights of financial advisers.

Securities Transaction Work Tailored To Your Unique Needs

Mr. Valenti and his teamwork with a wide range of businesses and individuals who issue securities. Compliance with relevant state and federal securities laws is imperative to enterprises of any size. Valenti Hanley provides the full spectrum of essential securities services, including drafting and reviewing private placement memoranda and other exempt securities built around the nuances of your unique business needs.

While it is a complex undertaking, Mr. Valenti and the experienced attorneys at Valenti Hanley PLLC have a solid track record of helping clients anticipate regulatory disputes and other legal issues and thus avoid costly consequences. Call us today to schedule a consultation in our Louisville office at 502-208-5017 or toll free at 866-617-6209.

Compliance When Offering And Registering Securities Is Essential

The Securities and Exchange Commission (“SEC”), and state regulatory bodies such as the Kentucky Department of Financial Institutions and the Colorado Division of Securities, regulate various aspects of securities. When your business is preparing to offer, register and sell financial products or investments, the lawyers at Valenti Hanley PLLC can provide reliable in-depth knowledge. We understand that compliance with strict securities regulations is critical to the success of your business.

Our firm represents established businesses and entrepreneurs from startup corporations, to joint ventures, to sole proprietorships. Mr. Valenti’s experience includes preparation of private placement memoranda, subscription agreements, operating agreements, and other offering documents in connection with raising capital for organic farming companies, restaurant concepts, oil and gas ventures, and other types of businesses. Our experience and attention to detail can give your business a competitive advantage in successfully processing securities offerings. Our transactional services include:

  • Preparing private placement memoranda
  • Creating subscription agreements
  • Drafting complex disclosures
  • Preparing other legal
    • Documents for offerings such as operating agreements or limited partnership agreements
  • Counseling clients on risk disclosure language in securities offering memorandum

Bring Your Securities Concerns And Questions To A Firm With Comprehensive Experience

To learn more about how our firm can support your compliance of regulations in the offering of securities, please contact Valenti Hanley PLLC today by completing our online form or by calling 502-208-5017 or 866-617-6209 toll free.

Achievements

Mr. Valenti has over 33 years of practice experience in a wide array of matters including:

  • Mr. Valenti has helped investors who have been victimized by fraudsters, unscrupulous financial advisors, and broker-dealers recover millions of dollars in damages by way of trial, hearing, or settlement. A representative case includes: In February of 2018, Mr. Valenti obtained an Arbitration Award from FINRA Arbitration Panel in the amount of $445,000 on behalf of an elderly client based upon improper activity in her account by a large regional brokerage firm and its agent who was serving as her financial advisor. This award was heavily publicized in the local media and the national press covering the financial services industry. A link from one of these publications appears below. https://onwallstreet.financial-planning.com/news/hilliard-lyons-loses-445k-case-to-elderly-client
  • In February of 2016, he successfully represented a Financial Advisor who was being sued under by a large Wall Street Bank to recover over $215,000 allegedly owed under a promissory note in an arbitration proceeding before the Financial Industry Regulatory Authority(“FINRA”). Mr. Valenti asserted a Counterclaim in that FINRA proceeding relating to false and misleading recruitment practices engaged in by the Wall Street firm towards his client. The Arbitration Panel ruled that Mr. Valenti’s client did not have to re-pay any money under the promissory note and that the Wall Street firm owed the Financial Advisor $300,000 plus interest based upon its wrongful recruiting practices. This case attracted national and local media attention, with articles about the case appearing in the Wall Street Journal, Louisville Business First, and trade publications concerning the financial services industry. The Wall Street Journal article about the case described the result as a “rare win” for a Financial Advisor against a Wall Street Bank in a promissory note case. During the course of his national securities law practice, Mr. Valenti has represented clients in securities-related matters in FINRA, AAA, and other arbitration proceedings, and civil cases in several jurisdictions around the country. Articles about Mr. Valenti’s cases have appeared in numerous publications, and he has been invited to speak at academic institutions on securities law matters.

Mr. Valenti has received a Diploma in Trial Advocacy Skills from the National Institute of Trial Advocacy in March of 1992.  Mr. Valenti also received the Continuing Legal Education Award from the Kentucky Bar Association in July of 1994 and the Donated Legal Services Award from The Kentucky Bar Association in June of 1996.

Mr. Valenti has received the 2020 AV Preeminent Judicial Rating, denoting the highest rating by both his Peers and the Judiciary.

For more information regarding Mr. Valenti and the services offered by Valenti Hanley PLLC, go to our website at www.vhrlaw.com

Call Us Today To Get Started Resolving Your Dispute

Valenti Hanley PLLC has the experience to help you seek a solution to your dispute. Call 502-208-5017 or toll free at 866-617-6209 to speak with an experienced attorney. You may also email our firm to arrange for a consultation.