Louisville, Kentucky And Nationwide Securities Law Practice
Valenti Hanley PLLC maintains a comprehensive securities law practice that is national in scope. Our offices are in Louisville, Kentucky, as well as Colorado and Florida.
Many “niche” securities law practices focus on only one aspect of securities law. For example, they may represent 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. 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
Investors Who Have Experienced Losses Through Unscrupulous Advisers Or Other Individuals
Our securities lawyers have recovered millions of dollars in damages on behalf of investors against financial firms, their agents and others. These unscrupulous parties have defrauded investors or otherwise mismanaged their money. We invite inquiries from investors throughout the country.
Regulatory Matters And Investigations
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 target of investigations or proceedings brought by federal and state securities 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, our securities lawyer, 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.
Financial 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. Disputes include claims over issues such as the following:
- 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 “upfront” 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. The SEC and state securities regulators, such as the Kentucky Department of Financial Institutions and the Colorado Division of Securities, are some of them. 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.
You Need A Kentucky Securities Lawyer You Can Trust. Contact Us Today.
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.
We advise on a wide range of securities law matters throughout the country from offices in Louisville, Kentucky, and Colorado and Florida. Contact us today at 502-208-5017 or toll-free at 866-617-6209, or fill out our contact form to see how we can help you.