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Kevin Dugald Galbraith

Kevin Dugald Galbraith

Practice areas:

Securities & Investment Fraud, White Collar Crime, Arbitration

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About Me

Kevin Galbraith’s practice has two 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.

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 graduated from Connecticut College with a B.A. in Government in 1992. He earned his J.D. in 2002 from 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.

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Practice Areas

Licensed since 2003

  1. Securities & Investment Fraud: 50%
    12 years, 100 cases
  2. Arbitration: 25%
    6 years, 100 cases
  3. White Collar Crime: 25%
    9 years

Payment

Fees:

Contingent (33%)

Attorney Endorsements

8 total 

  • Peter Sverd

    Kevin is a terrific attorney in the field of FINRA Arbitration. His unparalleled depth of knowledge in the field was earned by concentrating his time in FINRA related matters. This sets Kevin apart from other attorneys who 'dabble' in this area. You want an expert attorney to represent your clients in any given matter; that is why Kevin is my go-to attorney for all of my client's FINRA, Stockbroker and brokerage related issues. Thank you Kevin, for helping my clients. Not only do they get excellent legal representation from you, but I get praised for providing my clients with a stellar referral.

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    Peter Sverd Litigation Attorney
    Relationship: Fellow lawyer in community

  • No photo

    Kevin is the consummate lawyer who brings an ideal combination of traits and talents to any matter he works on. He is extremely bright and highly articulate. He conveys information clearly and succinctly. He is fair and open-minded, yet also can be firm and passionate when the need arises. He is creative, but he also applies rigor and discipline to the matters he attends to. He is well-read and maintains an understanding of developments in the law and in society. Finally, he has a strong sense of values and integrity that informs his daily life. I highly recommend him.

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    Clint Massengill
    Relationship: Co-worker

Contact Info

The Law Office of Kevin Galbraith LLC

140 Broadway
46th Floor
New York, NY, 10005

Resume

License

StateStatusAcquiredUpdated
NYCurrently registered 200303/13/2015

Professional Misconduct

We have not found any instances of professional misconduct for this lawyer.

Avvo Contributions

Legal Answers

Awards

Award NameGrantorDate Granted
AV Peer Review RatingMartindale-Hubbell2013

Work Experience

TitleCompany NameDuration
AttorneyThe Law Office of Kevin Galbraith2013 - Present
AttorneyZamansky & Associates LLC2009 - 2013
AttorneyDla Piper Us, LLP2007 - 2009
AttorneyCooley Godward & Kronish, LLP2002 - 2007

Associations

Association NamePosition NameDuration
Association of the Bar of New York CityMember2013 - Present
Public Investors Arbitration Bar AssociationMember2013 - Present

Legal Cases

Case NameOutcome
Pasquale & Diane Croce v. UBS Financial Services, Inc.Award in favor of claimant, including interest
Patricia Flanagan v. UBS Financial Services, Inc.Award in favor of investor, including attorney's fees and interest
Non-Public FINRA Enforcement ProceedingProceeding closed without sanction to my client

See all Legal Cases 

Publications

Publication NameTitleDate
Portfolio Media (Law360)New DOJ Guidelines: Fig Leaf To Avoid Legislation?2008
Fordham Intellectual Property, Media and Entertainment Law JournalForever 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' Intent2002

Education

School NameMajorDegreeGraduated
Fordham University School of LawLawJD - Juris Doctor2002
Connecticut CollegeN/ABA - Bachelor of Arts1992

Speaking Engagements

Conference NameTitleDate
Panel PresentationSecondary Liability for Securities Fraud2010