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Securities Law Services In Colorado

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 advisers and financial services firms.

There may be a place for “niche” securities law practices focusing on narrow aspects of securities law. Many law firms follow this path. However, the approach of Valenti Hanley PLLC is much more comprehensive. Mr. Valenti and the rest of our team offer a full spectrum of diverse legal services related to securities law.

Through his over 33 years of law practice serving individuals and businesses, Mr. Valenti has acquired a depth and breadth of knowledge about all facets of securities law. With this rich background, he brings valuable insights to each client’s securities-related legal concerns.

The favorable results that Mr. Valenti and our team have obtained for his clients have been the subject of news articles in widely read publications at both local and national levels. Read on or get in touch with us to learn more about the securities law services of this firm and Mr. Valenti’s track record of results.

When Unethical Advisors Mislead And Harm Investors

At Valenti Hanley PLLC, our attorneys stand up for investors when financial firms and others who work for those firms have cheated our clients. We have recovered millions of dollars in settlements and verdicts after taking legal action against these wrongdoers. Our investor clients come to us from throughout the U.S. and abroad.

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 the 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 the 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 Businesses And Individuals In Regulation Controversies And Investigations

Mr. Valenti and the team at Valenti Hanley PLLC represent clients in disputes and investigations over regulatory violations before federal and state agencies such as the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC) and the Colorado Division of Securities and before judges in courts throughout Colorado and the U.S. We represent clients who offer, register and sell securities when federal and state securities regulators target them for investigations or other legal proceedings.

Mr. Valenti and the team have also represented individuals and business clients in white collar criminal proceedings in federal and state court involving allegations of alleged securities fraud. We understand both legal and business aspects of such cases.

Our range of compliance representation for corporate and individual clients facing regulatory actions over allegations of the following:

  • Misrepresentation or fraud
  • Selling securities without registering them first
  • Not registering properly as broker-dealers

Besides representing clients in administrative matters before regulatory bodies, we represent many in white collar crime cases in state and federal courts.

Representing Financial Advisers In Disputes With Their Broker-Dealers

At Valenti Hanley PLLC, we represent financial advisers in a variety of disputes with their broker-dealers or advisory firm employers, including claims over the following:

We counsel and protect financial advisers who encounter troubles with their employers, such as broker-dealers and advisory firms. Sometimes, a financial adviser’s new employer has promised to pay upfront if the adviser brings their existing clients along with them to their new place of employment. Subsequently, disputes may erupt over recruitment methods, employment contracts, sign-on bonuses and Form U5 terms. Attorney Valenti helps businesses resolve intricate, complex financial adviser disputes over such issues in negotiations, through arbitration and at trial.

Customized Securities Transaction Services

Businesses and individuals who issue securities need guidance to comply with state and federal laws and regulations. Valenti Hanley PLLC is a source of trustworthy direction for fiduciaries who must take actions such as the following:

  • Draft and revise explicit, compliant private placement memoranda
  • Tailor offers to meet specific business needs
  • Prevent and resolve disputes over regulations and other legalities
  • Avoid unnecessary delays and legal costs

Call us at toll-free 866-617-6209 today to schedule a consultation on transactional compliance in Colorado. We can meet with you in person or via videoconference.

For Businesses That Offer And Register Securities: How To Comply With Relevant Regulations

Businesses that plan to offer and register securities turn to us for help complying with regulations of the Securities and Exchange Commission (SEC), the Colorado Division of Securities and other government agencies.

Our clients include new and established farm, oil and other types of businesses in a full range of industries. We guide them in the creation, review and negotiation of relevant documents for private placements, subscriptions and other aspects of transactional securities offerings. Our counsel includes a thorough review of risk disclosure terminology.

Ensuring Regulatory Compliance For Cannabis Operations

Our firm shines where cannabis law intersects with securities law. We can help you remain in regulatory compliance. We can assist you in preparing proposals for financing your venture through securities that are less wary of cannabis than traditional banks.

Marijuana is still a controlled substance under federal law, exposing businesses in the cannabis or CBD industry to potential legal and financial damage despite the legality of cannabis in states such as Colorado. It is crucial to take steps to remain in compliance with all applicable laws in order to protect your businesses’ legal standing and bottom line.

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

Mr. Valenti has a full portfolio of credentials that inspire confidence in our securities law clients. See his biographical page and consider the following examples. He received a diploma in trial advocacy skills from the National Institute for Trial Advocacy in March 1992. Mr. Valenti also received the Continuing Legal Education Award from the Kentucky Bar Association in July 1994 and the Donated Legal Services Award from the Kentucky Bar Association in June 1996. He 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, explore this website or schedule a consultation with a member of our team.

Call Us Today To Get Started Resolving Your Dispute

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

Colorado Business & Securities Law Office

Valenti Hanley PLLC

1434 Spruce Street
Suite 100
Boulder, CO 80302

Telephone: 866-617-6209

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