The Galbraith Law Firm

The Galbraith Law Firm We help investors recover their losses, financial professionals protect their rights, and B-Ds and f

The Law Office of Kevin Galbraith is dedicated to three facets of the securities industry. First, I represent individuals and groups of investors in securities arbitrations against their brokerage firms. These cases involve misconduct such as fraud, negligence, breach of fiduciary duty, failure to disclose conflicts of interest and other violations of state and federal securities laws and regulati

ons. Second, I represent employees in the financial services industry who are involved in internal or regulatory investigations, who are pursuing expungement proceedings to clear unwarranted marks from their licenses, or who are in disputes with their employers regarding termination or compensation. And third, I advise broker-dealers, hedge funds and other financial services companies in order to help them comply with regulatory and other legal requirements and to manage litigation risk.

"We Are Guardians" is a vital new documentary telling compelling stories of the ongoing struggle to protect the Amazon B...
06/16/2023

"We Are Guardians" is a vital new documentary telling compelling stories of the ongoing struggle to protect the Amazon Basin and its indigenous people. This story, created by inspiring filmmakers, has real-world impact for all of us as the impacts of climate change are felt ever-more broadly. Our firm is proud to stand alongside Mighty Earth and its founder Glenn Hurowitz as they lead the charge in holding accountable corporate wrongdoers such as JBS for their environmental misconduct and their misleading statements to investors. Please read our latest blog about the film and our work in this area: https://www.kevingalbraithlaw.com/we-are-guardians-documents-indigenous-peoples-fight-to-preserve-the-amazon-basin-culture-and-our-climate/

The Human Rights Watch Film Festival recently screened “We Are Guardians,” a vital new documentary revealing the complex and compelling on-the-ground realities in the Amazon basin. The filmmakers describe their project: “We Are Guardians is a rich, intimate journey meeting the many people who...

We represent an international environmental advocacy group, Mighty Earth (https://www.facebook.com/StandMighty), whose s...
01/18/2023

We represent an international environmental advocacy group, Mighty Earth (https://www.facebook.com/StandMighty), whose senior executives have filed an SEC whistleblower complaint against the world’s largest meat processor, JBS. The complaint alleges that JBS misrepresented its environmental track record when it raised over $3 billion from U.S. investors in selling so-called “sustainability-linked bonds.” The bonds’ offering materials claim that the company is on track to reach “net zero” greenhouse gas emissions by 2040, but the truth is far different—the company’s emissions have actually been on the rise in recent years and it has no credible plan to reach its stated “net zero” goal. The Washington Post and Financial Times have reported on the case, and we're optimistic that the SEC's Climate and ESG Task Force will take appropriate action. Here's our post with links to media coverage and additional information:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

Elizabeth Holmes convicted--what does it signal about DOJ's commitment to prosecuting white-collar criminals, the import...
01/04/2022

Elizabeth Holmes convicted--what does it signal about DOJ's commitment to prosecuting white-collar criminals, the importance of honest investor disclosure by CEOs and the vital role whistleblowers can play in achieving justice? My post here:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

Representing executives of five environmental non-profits, we have filed an SEC whistleblower complaint against the Japa...
12/08/2021

Representing executives of five environmental non-profits, we have filed an SEC whistleblower complaint against the Japan International Cooperation Agency (JICA), an arm of Japan’s government. JICA has materially harmed U.S. investors and threatens to exacerbate climate change by financing coal-fired power generation despite its explicit assurances that it would refrain from doing so. Links to the filing and to international media coverage are here:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

FINRA’s Proposed Expungement Limits Headed to SEC for Final Approval--financial advisors who are considering this step s...
03/11/2021

FINRA’s Proposed Expungement Limits Headed to SEC for Final Approval--financial advisors who are considering this step should be aware of important changes on the horizon. Our blog is here:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

We've updated our site to reflect several recent engagements serving investors, financial services professionals, Regist...
03/10/2021

We've updated our site to reflect several recent engagements serving investors, financial services professionals, Registered Investment Advisers and other institutional investors. To learn about the breadth of our firm's services, please visit:

“It has been a great pleasure to work with Kevin. I was referred by a friend who has worked with Kevin before and was very satisfied. I should thank the friend for recommending Kevin to me. He is a treasure with great professionalism, thoroughness, consideration and a kind heart. He helped out fro...

Indian Media Features Dodd-Frank Whistleblower Action. Multiple Indian media outlets, including its largest, The Times o...
10/12/2020

Indian Media Features Dodd-Frank Whistleblower Action. Multiple Indian media outlets, including its largest, The Times of India, recently featured an action for which our firm is co-counsel to the plaintiff, pending in the United States District Court for the Southern District of New York. Links to the complaint and media reports are here:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

COVID-19 Market Meltdown May Expose Unsuitable Investments--please read our latest blog on how to think about the damage...
03/25/2020

COVID-19 Market Meltdown May Expose Unsuitable Investments--please read our latest blog on how to think about the damage done to your investment portfolio in the current market, and whether you may have valid legal claims for recovery:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

Think Advisor recently published a piece titled, “Six Steps to Take Before You Build a Team,” which featured thoughts an...
02/24/2020

Think Advisor recently published a piece titled, “Six Steps to Take Before You Build a Team,” which featured thoughts and insights from Kevin Galbraith on the topic of how financial advisors can protect their legal and economic interests by drafting and implementing a carefully constructed team agreement. Here's our blog post, which contains a link to the article:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

The SEC has proposed an overhaul of its rules on advertising and solicitation, for the first time in decades. If they ar...
11/19/2019

The SEC has proposed an overhaul of its rules on advertising and solicitation, for the first time in decades. If they are approved, FINRA will likely follow suit. Please read our blog on the proposed changes:

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

Please check out our new post about the perils of insider trading, examined through the lens of recently resigned and co...
10/25/2019

Please check out our new post about the perils of insider trading, examined through the lens of recently resigned and convicted Congressman Chris Collins: https://tinyurl.com/y7fjhcwl, authored by our new colleague Aaron Ladds.

The Galbraith Law Firm conducts investigations and comments on current events in the financial, regulatory and legal arenas to make investors and financial services professionals aware of key developments that impact them. Readers may consult both current and archived investigations and blogs on thi...

Address

400 West 61st Street, Suite 1125
New York, NY
10023

Opening Hours

Monday 9am - 6pm
Tuesday 9am - 6pm
Wednesday 9am - 6pm
Thursday 9am - 6pm
Friday 9am - 6pm

Telephone

+12122031249

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