A Wide-Ranging Securities Law Practice
Valenti Hanley PLLC maintains a comprehensive securities law practice that is national in scope. Many “niche” securities law practices focus on only one aspect of securities law, such as representing investors who have claims against broker-dealers with which they have invested money. Valenti Hanley PLLC offers a much broader complement of securities-related legal services to clients located throughout the country.
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.
Representing Clients In Regulatory Matters And Investigations
Our firm represents clients in securities-related 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. Our lawyers have also successfully represented 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. 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, Michael Valenti has acquired invaluable knowledge that 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 obtained favorable results for his clients in cases that have been the subject of national and local news articles. 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 Financial Advisers In Disputes With Their Broker-Dealers
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. One fairly common situation involves unsavory recruitment tactics engaged in by broker-dealers. Broker-dealers often make promises to financial advisers to entice them to leave another firm and take their clients with them. So-called “upfront” money is paid to induce financial advisers to leave their existing firm. As a condition to receiving the money, however, the financial adviser must sign a promissory note agreeing to repay the “upfront” money if he or she leaves before a specific period of time. Often, broker-dealers don’t keep the promises made at the outset to entice the financial adviser to move, leaving the adviser in an untenable position at the new firm. Broker-dealers who break their promises or engage in other unsavory recruitment practices should be held accountable, and Mr. Valenti has experience in doing so. Financial services firms also often place false or misleading information on a departing advisor’s Form U5 in order to prevent clients from following them by damaging the advisor’s reputation. Michael Valenti has the experience and knowledge to obtain redress for financial advisors who find themselves in this situation.
Offering And Registering Securities
The SEC, and state securities regulators such as the Kentucky Department of Financial Institutions and the Colorado Division of Securities, regulate the offering, registration and sale to investors of financial products or instruments that fall within the broad definition of “securities.” Our firm represents corporate and individual clients involving their rights and duties in the issue, offering, registration and sale of securities, including:
- Preparing private placement memoranda, subscription agreements and other legal documents on behalf of businesses and individuals involved in the issuance, offering and sale of securities
- Counseling clients on risk disclosure language in securities offering memoranda
- Actions for fraud or misrepresentation brought pursuant to 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 failure to register as a broker/dealer or agent authorized to sell securities
- Compensation issues over issuer/agent status and commissions paid
In the most serious of cases where criminal conduct has been alleged, Mr. Valenti represents clients in white-collar criminal proceedings in state and federal court involving alleged securities fraud.