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.
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.
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.
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.
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.