Colorado Securities Lawyer

Last updated on January 30, 2026

Valenti Hanley PLLC is a premier securities law firm providing strategic counsel for matters involving the Colorado Securities Act and federal financial regulations. Led by veteran attorney Michael A. Valenti, our Colorado securities lawyers represent investors, financial advisors and corporations in securities litigation, FINRA arbitration and regulatory compliance matters.

Raising capital or managing investments involves significant financial risk, and a simple oversight can threaten your livelihood or your savings. Whether you are seeking investment loss recovery due to broker misconduct or require a robust defense against SEC or FINRA actions, we bring over 33 years of experience to resolving complex legal challenges in all Colorado state and federal courts.

Comprehensive Securities Law Services In Denver And Beyond

Our Colorado securities attorneys handle the full spectrum of securities law rather than limiting our practice to a single niche. We manage the technical details of Private Placements and Regulation D filings, and we stand beside professionals during investigations by the Colorado Division of Securities. We aggressively pursue justice for investors facing issues regarding:

Broker-dealer misconduct: We pursue claims regarding account churning, unsuitable investment recommendations and unauthorized trading.
Fiduciary violations: We hold investment advisers liable when they breach their duty to act solely in your best interest.
Financial fraud: We litigate complex cases involving Ponzi schemes, affinity fraud and calculated investment scams.

Attorney Valenti brings a proven track record to every case, regardless of its complexity. Whether you are an investor attempting to recoup lost funds or a firm that needs to improve corporate governance, we will provide the sophisticated counsel you need.

Supporting Clients In Different Areas Of Securities Law

We will address every aspect of securities law to ensure you reach a complete resolution. Our team applies over three decades of experience to provide focused legal support in the following key areas:

Investor protection and fraud recovery: We will help you recover funds lost to investment fraud, asset mismanagement or advice that did not fit your financial goals.
Financial Industry Regulatory Authority (FINRA) arbitration and litigation: We will represent you in arbitration claims against brokerage firms that failed to follow the rules.
Broker misconduct claims: We will prosecute claims involving excessive trading, unauthorized transactions, stock manipulation schemes and financial elder abuse.
Regulatory defense: We will aggressively defend professionals facing investigations or enforcement actions from the Securities and Exchange Commission (SEC), FINRA or the Colorado Division of Securities.
Corporate compliance and advisory: We will guide you and your business through SEC filings and private capital raising, ensuring you follow regulatory rules.

You need a legal partner who understands the nuances of both state and federal regulations. We will examine the specific facts of your situation to provide the strategic counsel necessary to protect your investments.

Holding Financial Advisers and Their Firms Accountable

At Valenti Hanley PLLC, we protect investors when financial advisors act recklessly or dishonestly. Whether in court or through arbitration, the firm holds brokers and their bosses responsible for misconduct that drains your savings. We pursue claims against advisors for:

Unsuitable recommendations: Selling high-risk investments to clients who actually need safety, such as retirees
Elder financial abuse: Targeting seniors with scams or manipulative tactics to seize their assets
Unauthorized trading: Buying or selling stocks in your account without getting your permission first
Breach of fiduciary duty: Lying or prioritizing their own profit over your best interests
Negligence: Being careless, lazy or failing to explain the true risks of an investment
Churning: Trading excessively just to generate more commission fees for themselves
Failure to supervise: Failing to monitor their employees’ fraudulent behavior
Statement reviews: Auditing your account history to uncover hidden fees, errors or theft

Financial professionals have a duty to protect your money, not exploit it. Our Colorado securities lawyers will fight to ensure firms face consequences for these actions.

Defending Against Regulatory Investigations

We also defend businesses and individuals when they face SEC or FINRA investigations. Our attorneys understand the high stakes involved when authorities accuse you or your firm of violating securities laws. We can defend you from claims involving:

Misrepresentation and fraud: Regulators accuse the business of intentionally deceiving investors or falsifying information.
Unregistered securities: The client sold investment products without registering them with the proper authorities first.
Broker-dealer noncompliance: The firm or individual failed to properly register as a licensed broker-dealer before doing business.
White collar crime: The client faces criminal charges in state or federal court regarding alleged securities fraud.
Regulatory probes: Government agencies have targeted the client for administrative hearings or compliance reviews.

We handle these complex matters in both civil administrative hearings and criminal courts. Our goal is to protect your professional reputation and your business from these serious legal challenges.

Representing Financial Advisers In Disputes With Their Broker-Dealers

Working in the financial industry is complicated, and professionals often need legal counsel to ensure they receive what they were promised. We represent financial advisors who face legal disputes with their employers. We can help address the following issues:

Employment agreements: We will resolve conflicts regarding recruitment methods and the specific terms of your employment contract.
Promissory notes: We will handle disputes involving upfront sign-on bonuses and the repayment terms of promissory notes.
Form U5 issues: We will challenge damaging or inaccurate language on your termination record to protect your professional reputation.
Compliance matters: We will defend you if your employer investigates you for alleged violations of internal rules.

Whether through negotiation, arbitration or trial, our Colorado securities lawyers will work hard to protect your career.

Customized Securities Transaction Services

Businesses issuing securities face a complex maze of state and federal laws. At Valenti Hanley PLLC, we can help you handle these financial transactions correctly. We assist businesses and fiduciaries with the following actions:

Private placement memoranda: We will draft and revise detailed legal documents to ensure you raise capital in full compliance with the law.
Tailored business offers: We will structure specific investment offers that align perfectly with your company’s unique needs.
Regulatory compliance: We will help prevent and resolve potential legal disputes before they become costly problems.

By handling the legal heavy lifting, we can help you focus on your business goals. We will ensure your transactions are secure, compliant and structured for success.

Cannabis Business Compliance And Financing

Cannabis and cannabidiol (CBD) businesses face unique challenges because marijuana remains illegal under federal law, even though it is legal in the state. This conflict makes it difficult to secure traditional banking and exposes companies to significant legal risks. We assist cannabis entrepreneurs with the following critical tasks:

Alternative financing: We will help you prepare proposals to raise capital through private securities since traditional banks are often hesitant to lend to the industry.
Regulatory compliance: We will help your business stay in line with cannabis regulations and securities laws.
Risk management: We will implement strategies to protect your legal standing and bottom line against the dangers of federal enforcement.

It is crucial to take the right steps to protect your investment. We will provide the guidance necessary to keep your operation on the right side of the law.

Why Hire Valenti Hanley PLLC As Your Colorado Securities Lawyer

When dealing with complex financial disputes or regulatory investigations, you need a legal team with a proven history of success. We offer a depth of legal knowledge that few firms can match:

Over three decades of proven practice: Our Colorado securities lawyers possess over 30 years of hands-on experience handling complicated securities and business litigation.
Industry recognition: The firm has earned prestigious honors for legal excellence, including the AV Preeminent* peer-review rating and the Super Lawyers list.
A dual perspective: We offer a strategic advantage because we have experience representing both defrauded investors and financial professionals defending their licenses.
Success against big opponents: We have successfully stood up to large financial institutions and won in both court trials and arbitration.
Direct attorney access: You will work directly with experienced partners to develop your strategy rather than being passed off to junior associates.
National reach: We effectively manage cases across the country through our offices in Colorado, Kentucky and Florida.

Your financial future is too important to leave to beginners. With us, you gain a partner who has seen every angle of the industry and the legal system to get you results.

Proven Results In High-Stakes Litigation

When significant assets and professional reputations are on the line, we deliver critical victories. We have a history of both securing large financial recoveries for our clients and defeating massive liability claims in court. Some of our notable successes include:

Defeating a $30 million claim: We secured a jury verdict for a former CFO that successfully defeated a lawsuit seeking over $30 million in damages against him.
Recovering millions in stock dispute: We negotiated a settlement of over $2 million for a client who sued a healthcare company regarding stock ownership rights.
Restoring a reputation: We won a $1.4 million FINRA arbitration award for a financial advisor after J.P. Morgan Securities publicized false allegations.

Whether we are defending you against a huge lawsuit or fighting to recover your money, our track record proves we have the skill to handle complex cases.

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

Telephone: 866-617-6209

Map & Directions

*AV®, AV Preeminent®, Martindale-Hubbell Distinguished and Martindale-Hubbell Notable are certification marks used under license in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell® is the facilitator of a peer-review rating process. Ratings reflect the anonymous opinions of members of the bar and the judiciary. Martindale-Hubbell® Peer Review Ratings™ fall into two categories – legal ability and general ethical standards.