$ 550-650 per hour
Kevin Dugald Galbraith
About Kevin
Biography
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.
The Galbraith Law Firm has been recognized by Corporate Intl Magazine as New York's Boutique Securities Litigation Law Firm of the Year for 2017 and 2018. Mr. Galbraith has been received Martindale's highest rating of "Preeminent" and has been recognized by ALM as a "New York Legal Leader," placing him among the top 5% of attorneys in his practice area.
Practice Areas
3
Practice Areas
Securities and Investment Fraud
50%
23 years | 100 cases
Arbitration
25%
17 years | 100 cases
White Collar Crime
25%
20 years
Fees and Rates
Cost
Hourly Rates
Contingency
33%-33%
Payment Methods
- Check
- Credit Card
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Chat withLicenses
Licensed in New York for 23 years
State: New York
Acquired: 2003
No misconduct found
Location
The Law Office of Kevin Galbraith LLC
236 West 30th Street, 5th Floor, New York, NY, 10001
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Kevin Dugald Galbraith's Reviews
Avvo Review Score
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Kevin Dugald Galbraith's Lawyer Endorsements
"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."
"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."
"I worked with Kevin for several years at a national law firm on federal criminal matters and regulatory investigations concerning alleged violations of the Foreign Corrupt Practices Act and illegal promotion of tax shelters. Kevin is a talented and aggressive attorney who has obtained fantastic results for his clients. Kevin is also personable, sympathetic to his client's needs, and easy to work with. I strongly endorse Kevin."
"I worked with Kevin for a number of years on a high profile Foreign Corrupt Practices Act matter. I was consistently impressed with Kevin's intelligence, judgment and dedication. In addition to being a superb lawyer, Kevin is also a fantastic person. He is just a pleasure to be around. An individual or company that is in the market for a sophisticated and personable litigation counsel could do no better than Kevin."
William Montgomery
Securities and investment fraud lawyer | Aug 13
Relationship: Opposing Counsel on matter
"I endorse Kevin. I have had a number of cases where Kevin was opposing counsel. He always conducted himself as a gentleman and yet was able to fight hard for his clients and achieve good results for them."
Kathleen Adams
Securities and investment fraud lawyer | Aug 12
Relationship: Opposing Counsel on matter
"Kevin and I have worked as opposing counsel on several cases. He is consistently professional and courteous to his fellow attorneys, and he always has an excellent working knowledge of his cases. Kevin is a tough negotiator who also appears to forge solid relationships with his clients. I enjoy working with Kevin and his clients seem to appreciate his prudent advice and counsel."
"Kevin is a consummate professional with a passion for achieving the best possible results. Kevin has a great combination of legal know-how and "street smarts" and he really puts that together for his clients to great effect. Highly recommended."
David Straite
Securities and investment fraud lawyer | Jul 18
Relationship: Worked together on matter
"Kevin is a thoughtful lawyer with a keen mind and impressive understanding of litigation generally and investor protection laws specifically."
Peter Sverd
Litigation lawyer
Russell Adler
Employment and labor lawyer
Clint Massengill
Tax lawyer
Scott Pashman
Litigation lawyer
William Montgomery
Litigation lawyer
Kathleen Adams
Securities and investment fraud lawyer
Matthew Wilson
Class action lawyer
David Straite
Securities and investment fraud lawyer
Experience
Honors
2021
Boutique Securities Litigation Law Firm of the Year (New York), Corporate INTL
2019
Boutique Securities Litigation Law Firm of the Year (New York), Global Law Experts
2018
AV Peer Review Rating: Preeminent, Martindale-Hubbell
2017
Legal Leader, American Lawyer Media
Work Experience
2013 - Present
Attorney, The Law Office of Kevin Galbraith
2009 - 2013
Attorney, Zamansky & Associates LLC
2007 - 2009
Attorney, DLA Piper US, LLP
2002 - 2007
Attorney, Cooley Godward & Kronish, LLP
Associations
2013 - Present
Public Investors Arbitration Bar AssociationMember
2013 - Present
New York City Bar AssociationMember
Sample of Legal Cases
FINRA Arbitration
Favorable settlement
Non-public FINRA Enforcement Proceeding
Formal investigation resolved without any sanction to my client
Confidential Engagement for CRD Expungement
Expungement was granted.
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 Proceeding
Proceeding closed without sanction to my client
Education
2002
Fordham University School of Law
JD - Juris Doctor
1992
Connecticut College
BA - Bachelor of Arts
Speaking Engagements
2017
2010
Panel Presentation
Secondary Liability for Securities Fraud
Publications
2008
Portfolio Media (Law360)
New DOJ Guidelines: Fig Leaf To Avoid Legislation?
2002
Fordham Intellectual Property, Media and Entertainment Law Journal
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
Languages
English