Mr. Kevin Galbraith

Mr. Kevin Galbraith: Attorney with Law Office of Kevin Galbraith LLC AV stamp icon
  • Principal at Law Office of Kevin Galbraith LLC (1 Attorney)
  • 236 W. 30th Street 5th Floor, New York, NY 10001
    View Mr. Kevin Galbraith's office location
  • Kevin Galbraith is the founder and principal of the Law Office of Kevin Galbraith. His practice is devoted to representing investors in FINRA arbitrations against their brokerage firms to recover substantial losses, and to representing financial advisors involved in regulatory and enforcement proceedings as well as CRD expungement.
  • Peer Reviews

    4.9/5.0 (13)
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Attorney Awards

Biography

Kevin Galbraith’s practice has three related components. First, he represents 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 regulations. Second, he represents employees in the financial services industry who are involved in internal or regulatory investigations or who are pursuing expungement proceedings to clear unwarranted marks from their licenses. And third, he advises financial services companies regarding legal compliance requirements and programs, and represents them in both FINRA arbitration and state and federal litigation.

Prior to founding his own firm, Mr. Galbraith practiced for several years at a securities arbitration and litigation boutique firm, Zamansky & Associates. There, he worked on cutting-edge cases representing both individual investors in arbitrations against their brokerage firms as well as large classes of investors who were harmed by corporate misconduct such as the London Whale trading fiasco at JP Morgan Chase and Citigroup’s subprime CDO fraud. At Zamansky, he won both the first and the largest arbitration awards against UBS Financial Services concerning their fraudulent marketing of so-called “100% Principal Protection Notes” issued by Lehman Brothers, and represented dozens of other similarly situated investors who achieved excellent results in their cases. He also successfully represented many other investors who suffered substantial losses as a result of their brokerage firms' misconduct. Finally, he helped secure from large banks and IRA custodians multi-million-dollar settlements on behalf of victims of Ponzi schemers who held their accounts at the defendant institutions.

Prior to his work at the Zamansky firm, Mr. Galbraith was associated with two prominent national and international law firms in New York. At Cooley Godward Kronish, his practice centered on white-collar criminal and defense, general civil litigation and advising clients on how to navigate criminal and regulatory inquiries concerning their business practices. At DLA Piper, Mr. Galbraith maintained a practice in these same areas. He also advised large international insurers regarding their insureds’ exposure to liability in securities class actions, including the IPO Securities Litigation, and defended underwriters who were the subject of putative federal securities class actions.

Education
Mr. Galbraith received his B.A. in 1992 from Connecticut College, majoring in Government. He received his J.D. in 2002 from the Fordham University School of Law, where he was a member of the Dean’s List and was Editor-in-Chief of the Fordham Intellectual Property, Media & Entertainment Law Journal.

Bar Admissions
Mr. Galbraith is a member of the Bar of New York. He is also admitted to practice before the United States District Courts for the Southern and Eastern Districts of New York, the Eastern District of Pennsylvania, the District of Colorado and the U.S. Court of Appeals for the Third Circuit.

Publications
As a member of the Fordham Intellectual Property, Media & Entertainment Law Journal, Mr. Galbraith authored and published a Note, “Forever on the Installment Plan? An Examination of the Constitutional History of the Copyright Clause and Whether the Copyright Term Extension Act of 1998 Squares with the Founders’ Intent.” This Note has been repeatedly cited in scholarly journals including the Yale Law Journal. He has also authored or co-authored a number of articles on current legal developments for Law360 and other legal publications.

Pro Bono
Mr. Galbraith’s pro bono representations have focused on securing political asylum for victims of government repression and torture, particularly for individuals from countries in West Africa. In addition, he served as part of a team that secured the reversal of a wrongful death conviction of a South Carolina physician; rather than serve out the remainder of his thirty-year sentence, the doctor was immediately freed.

Areas of Practice (9)

  • FINRA Arbitration
  • Securities Fraud Arbitration
  • Securities Litigation
  • Securities Regulation
  • Broker-Dealer Arbitration
  • Broker-Dealer Regulation
  • Litigation
  • Insider Trading
  • Securities Consumer Arbitration

Education & Credentials

Contact Information:
917-336-7525  Phone
212-203-1249  Phone
917-270-9305  Cell Phone
646-390-5935  Fax
www.kevingalbraithlaw.com
University Attended:
Connecticut College, B.A. in Government, 1992
Law School Attended:
Fordham University, J.D., Dean's List; Editor-in-Chief, Fordham Intellectual Property, Media & Entertainment Law Journal, 2002
Year of First Admission:
2002
Admission:
2007, U.S. Court of Appeals, Third Circuit (inactive); 2002, New York; 2002, Connecticut; 2002, U.S. District Court, Southern and Eastern Districts of New York
Memberships:
Association of the Bar of the City of New York; Public Investors Arbitration Bar Association.
Reported Cases:
Pasquale & Diane Croce v. UBS Financial Services, Inc.; Patricia Flanagan v. UBS Financial Services, Inc.
ISLN:
917059085

Peer Reviews

4.9/5.0 (13 reviews)
High ethical standing icon
A Martindale-Hubbell Peer Rating reflects a combination of achieving a Very High General Ethical Standards rating and a Legal Ability numerical rating.
  • Legal Knowledge

    4.9/5.0
  • Analytical Capability

    5.0/5.0
  • Judgment

    4.8/5.0
  • Communication

    5.0/5.0
  • Legal Experience

    4.7/5.0
  • 5.0/5.0 Rated by a Of Counsel on 08/09/13 in Securities Arbitration

    Kevin is the most respectful and even-tempered lawyer I've ever worked with. When coupled with his impressive experience, it makes for a fantastic professional.

    Kevin is the most respectful and even-tempered lawyer I've ever worked with. When coupled with his impressive experience, it makes for a fantastic professional. Read less

    Read less
  • 5.0/5.0 Rated by a Associate on 08/08/13 in Securities Arbitration

    Kevin is a first-rate attorney who zealously and effectively represents his clients' interests while always adhering to the highest ethical standards. He is a skilled, experienced litigator who has developed deep expertise in the area of securities... Read more

    Read more

    Kevin is a first-rate attorney who zealously and effectively represents his clients' interests while always adhering to the highest ethical standards. He is a skilled, experienced litigator who has developed deep expertise in the area of securities arbitration. Read less

    Read less

*Peer Reviews provided before April 15, 2008 are not displayed.

New York, New York

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