Louisville, Kentucky And Nationwide Securities Law Practice
At Valenti Hanley PLLC, our securities lawyers help clients navigate complex securities regulations, resolve disputes, hold dishonest advisors and brokers accountable, and understand their rights regarding government agencies. Our comprehensive securities law practice is national in scope. We have offices in Louisville, Kentucky, as well as Colorado and Florida.
Many niche securities law practices focus on only one aspect of securities law. Valenti Hanley PLLC offers a much broader complement of securities-related legal services. When they need a securities lawyer our clients, such as the following, come to us from throughout the country:
- Investors harmed by wrongdoing
- Brokers and others facing regulatory challenges and investigations
- Financial advisers in disputes with broker-dealers
- Entities raising money through securities offers
We can help you with nearly any issue, concern or question you have related to securities.
Helping Investors Who Lost Money Due To Unscrupulous Individuals
There are many people involved in the securities field who mislead investors for their own financial gain. These unscrupulous parties defraud investors or otherwise mismanage their money. If you are an investor who lost money because of a dishonest advisor, agent, financial firm or another party, our securities attorneys can help you recoup your losses plus seek damages. Investors throughout the country have turned to us for assistance. We have recovered millions of dollars in damages on behalf of investors.
Protecting You In Regulatory Matters And Investigations
A government entity investigating you for noncompliance feels intimidating, but our securities attorneys can advise you. We represent clients in securities-related disputes and investigations before agencies including the following:
- 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
As needed, we represent clients in federal and state courts. Our securities law attorneys have successfully represented clients who became the targets of investigations or proceedings brought by regulators. These legal challenges relate to the offering, registration and sale of securities. We understand both the legal and business realities that impact these complex matters.
Through more than 30 years of practice experience representing both individuals and businesses as a securities attorney, Michael Valenti has acquired invaluable knowledge. His proficiency covers myriad securities law issues. This in-depth knowledge and experience allow Mr. Valenti and his team to bring a unique perspective to each client’s securities law issue.
Finally, and perhaps most importantly, Mr. Valenti and his team have helped protect clients’ reputations. They have obtained favorable results for clients in cases that have been the subjects of national and local news articles. Contact the firm to learn more about the services offered by Mr. Valenti and his team in securities law regulatory matters.
Advocating For Advisers In Disputes With Their Broker-Dealers
The attorneys at Valenti Hanley PLLC represent financial advisers in a variety of disputes with their broker-dealer or advisory firm employers. Some of the disputes we regularly handle include:
- Employment agreements
- Promissory notes
- Compliance-related matters
One common situation involves unsavory recruitment tactics that broker-dealers frequently use. They often make promises to financial advisers to entice them to leave another firm and take their clients with them. They pay “up front” money to induce financial advisers to leave their existing firms. As a condition to receiving the money, however, the financial adviser must sign a promissory note agreeing to repay the “upfront” money if they leave before a specific period.
Often, broker-dealers don’t keep the promises that they made at the outset to entice the financial adviser to move, leaving the adviser in an untenable position at the new firm. Attorney Valenti holds broker-dealers accountable when they break their promises or engage in other unsavory recruitment practices.
Financial services firms also often place false or misleading information on a departing adviser’s Form U5. They do this to damage the adviser’s reputations to prevent clients from following them. Mr. Valenti has the experience and knowledge to obtain redress for financial advisers who find themselves in this situation.
Offering And Registering Securities
Our clients often need help interacting with government agencies such as the SEC, the Kentucky Department of Financial Institutions and the Colorado Division of Securities. These agencies regulate the offering, registration and sale to investors of securities. Numerous financial products or instruments fall within this category.
We represent corporate and individual clients. We advise them on their rights and duties in the issue, offering, registration and sale of securities as follows:
- Preparing private placement memoranda, subscription agreements and other legal documents on behalf of businesses and individuals for the issuance, offering and sale of securities
- Counseling clients on risk disclosure language in securities offering memoranda
- Exposing fraud or misrepresentation claims per Section 10(b)(5) of the federal Securities Act of 1933 and Kentucky securities statutes
- Actions relating to the offering or sale of oil and gas interests
- Injunction actions seeking to stop the offering or sale of securities
- Actions for failing to register securities
- Actions for failing to register as a broker-dealer or agent with the authority to sell securities
- Compensation issues over issuer/agent status and commissions
In the most serious of cases, when criminal conduct has been alleged, Mr. Valenti represents clients in white collar criminal proceedings in state and federal court involving alleged securities fraud.
Frequently Asked Questions About Securities Law
Bring us your questions about securities such as the following, as well as specific concerns you are currently facing regarding investments and financial transactions.
What Is Securities Law?
Securities law, in a broad sense, refers to regulations that public and private companies that issue stocks and bonds and financial institutions that make loans, should comply with, including requirements to:
- Make disclosure agreements to investors or borrowers
- Register public sales and lending services with the SEC
- Hold annual meetings and clarify voting rules for stockholders
- Disclose ownership interests of directors, officers and other prominent shareholders
The Securities Act of 1933 and the Securities Exchange Act of 1934 are both sources of rules that issuers of stocks, bonds and loans should follow.
What Does A Securities Lawyer Do?
If you or your company works with a securities lawyer, that attorney can advise your company about rules for raising capital. They can also represent you as an investor in arbitration or other dispute resolution forums if you believe your investment was mishandled or that you were misled.
What Areas Fall Under Securities Law?
Securities law covers many legal requirements having to do with public and private stocks and bonds that financial institutions and other types of companies offer, as well as loans, including mortgages, that lenders issue. Securities laws are relevant at both the state and federal levels, but obligations overseen by the federal Securities Exchange Commission (SEC) are essential to any discussion of these laws.
Can An Investment Adviser Be Sued?
You may have grounds to take legal action against an investment or retirement adviser if:
- You had established an advisory relationship with an investment or retirement adviser
- That adviser breached their fiduciary duty to act in your interests
- You were harmed (such as losing large amounts of your investments unnecessarily)
Discuss your investment losses and your adviser’s possible misdeeds with a securities law attorney to determine whether you have a case.
What Is FINRA And What Does It Do?
The Financial Industry Regulatory Authority (FINRA) is a non-profit organization with authority and responsibilities, including:
- Verifying registration, certification and licensing of broker-dealers and others who work in the financial industry
- Creating and enforcing regulations governing companies and individuals that buy, sell and issue securities, such as stocks, bonds and mortgage loans
- Protecting investors and promoting trust in the financial industry
- Educating brokers as well as investors about their respective rights and duties
- Confirming disclosures regarding the risks and strengths of financial products
- Arbitrating and mediating disputes between investors and broker-dealers
In sum, the federal government authorizes FINRA to regulate and oversee financial and securities entities, transactions and fiduciaries.
You Need Trustworthy Securities Counsel
Perhaps advisers have deceived you as an investor. Or you may seek to register your securities. We can help. Our experienced securities lawyers understand both the legal and business side of things. If you face allegations of wrongdoing, our securities fraud lawyers understand how to protect your rights under the law. Ultimately, you can rely on our team’s unparalleled knowledge of and experience in the financial and legal sectors to provide the counsel you deserve.
Read What Our Clients Have Said
Based upon my experience, I would highly recommend them to any business owner.
– Dr. Tom House
They obtained a great result for both me and my company. I highly recommend him and his firm in business law cases where the stakes are high.
– A. Zaniewski
We found Mr. Valenti to be a highly professional, caring, compassionate individual who devoted a considerable amount of time to listen to our concerns…He was able to negotiate a settlement with the firm which enabled us to recover a significant amount of our loss.
– Richard and Ann G.