Exceptional and accessible legal representation across Kentucky and Nationwide


Representing Kentucky Investors’ Rights In Arbitration

Mandatory arbitration clauses are common in investor-broker contracts. The upside is that it can prevent costly, time-consuming litigation. The downside is that investors do not have the option of a trial before a judge.

If you are an investor who has found yourself involved in a dispute with your broker-dealer, the time has come to contact Valenti Hanley PLLC. Our securities law attorneys are well-versed in all issues related to arbitration through the Financial Industry Regulatory Agency (FINRA). We serve clients throughout Kentucky, Colorado and Florida.

Mediation And Arbitration: What To Know

In mediation, all parties sit down with a neutral mediator who facilitates discussions. Ideally, the parties arrive at a mutually satisfactory resolution without requiring litigation. Similarly, in arbitration, the parties appear before an arbitrator who hears all sides and issues a final, binding decision. Brokers prefer mediation and arbitration because they are private, not public, preventing unfavorable publicity, and allow greater control over the outcome.

More Than 100 Years Of Experience Handling Securities Disputes

When an investor believes that a broker or dealer breached their contract or another legal duty, a dispute arises. Some of the most commonly mediated and arbitrated securities disputes that we see include:

  • Breach of contract
  • Breach of fiduciary duty
  • Fraud
  • Trading against investment plan
  • Conflict of interest
  • Excessive trading
  • Insider trading

Although arbitrating disputes is less formal than courtroom litigation, it is still an adversarial process where each side presents evidence and arguments. Therefore, you will need an attorney. When it comes to counsel that will advocate for your best interests and hold bad actors accountable, our securities lawyers are here to help. They have more than 100 collective years of experience practicing investment and securities law.

Speak With A Securities Dispute Arbitration Attorney Today

When a securities dispute arises, Valenti Hanley PLLC can represent you authoritatively. Please schedule your initial consultation with us today. We have law offices in Louisville, Treasure Island and Boulder. Please call us toll-free at 866-617-6209 or send us an email to contact us.