Valenti Hanley PLLC

Posts tagged "Representing Investors"

A bitcoin company is ordered to pay back investors

The U.S. Securities and Exchange Commission (SEC) announced on Feb. 19 that they have ordered a cryptocurrency company Enigma MPC to return initial coin offering (ICO) funds to its investors. The federal agency is also ordering the blockchain startup to pay fines. The SEC argues that the company violated federal securities laws when it offered its Erthereum token known as ENG up as an ICO.

What risk aversion questions should your investment advisor ask?

Your investment advisor has many different responsibilities. These are commonly referred to as their fiduciary duties. Your portfolio manager must carefully research potential trades before making them and disclose any associated risks with you before doing so. If your investment advisor makes unauthorized transactions or engages in fraud, then they may be accused of breaching their fiduciary duty and face penalties for doing so.

Kentucky governor warns for investment scams

The governor and other elected officials in Kentucky recently warned residents about a number of different scams that they need to watch out for in 2020. It sometimes feels like there are more ways to lose your money than you can count. Officials want residents to be careful at every turn.

Investment fraud often starts with something in common

When someone tells you about a "can't miss" investment opportunity, do you wonder if it's really just fraud? Are they running a scam? Maybe the way they talk about it tips you off; they say that there is no risk at all, for instance, when you know that all investments carry some level of risk.

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
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Louisville, KY 40202

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