- Representation of dozens of investors in claims against their brokerage firms and financial advisors
- Representation of financial advisors seeking expungements from their regulatory records.
- Representation of financial advisors with FINRA Form U5 Language Negotiations after being discharged
- Representation of financial advisors in responding to FINRA 8210 Requests or any other Regulatory Investigations
- Representation of a broker-dealer in FINRA investigations, involving, among other issues, the issuance and sales of a private placement offering and conservation easements
- Representation of a registered investment advisor in an SEC investigation, involving, among other issues, the issuance and sales of a private placement offering
- Reorganization of a broker-dealer, registered investment advisor, and affiliated companies under a Delaware corporation holding company with multiple classes of voting and non-voting common stock, issued to executives, employees, and contractors with shareholder agreements and restricted stock agreements
- Conducted examinations of over thirty branch offices for multiple broker-dealers
- Representation of a broker-dealer as outside general counsel in general corporate matters, drafting of contracts, governance, commercial transactions, and employment matters
- Representation of a broker-dealer in the acquisition of over a dozen companies at all stages from deal negotiation to drafting the asset purchase agreements and related documents
- Marquis Who’s Who in American Law
- Super Lawyers 2019 Florida Rising Star
- Super Lawyers 2020 Florida Rising Star
- Super Lawyers 2021 Georgia Rising Star
- Super Lawyers 2022 Georgia Rising Star
- AI Legal Awards 2017 Florida Securities Litigator of the Year
- Brokerage Firm Counterclaims: Firms’ Attempts To Turn Liabilities Into Assets
PIABA Bar Journal (2014), Vol. 21, No. 3
ABOUT JAMES P GALVIN, ESQ.
James P Galvin, Esq. is a securities attorney and founder of Galvin Legal, PLLC who represents investors and financial advisors. Mr. Galvin founded Galvin Legal, PLLC in 2016 after working for another securities law firm for two years. He graduated from Georgia State University in Atlanta, Georgia with a Bachelor of Business Administration degree in Finance. He obtained his Juris Doctor from the University of Miami School of Law in Coral Gables, Florida.
At the University of Miami School of Law, Mr. Galvin actively participated in the Investor Rights Clinic as a Certified Legal Intern, Returning Fellow, and Research Assistant to the Clinic Director. He represented the School of Law at the FINRA Securities Dispute Resolution Triathlon in New York City and was awarded the Dean’s Certificate of Achievement for his participation in the Investor Rights Clinic.
James P Galvin served as an Honors Student Legal Intern with the Enforcement Division of the United States Securities and Exchange Commission (“SEC”). While at the SEC, he was an active participant in multiple enforcement investigations. His participation included detailed research, document review, drafting deposition outlines, and assisting with witness depositions.
Mr. Galvin also completed the litigation skills program, which included serving as a Certified Legal Intern with the Miami-Dade State Attorney’s Office.
James P Galvin has handled numerous Financial Industry Regulatory Authority (“FINRA”) arbitration cases. These cases have included claims for, among other things, unsuitability, fraud, negligence, failure to supervise, and breach of fiduciary duty. Mr. Galvin has also handled numerous FINRA CRD Expungement cases for registered representatives seeking to expunge customer dispute and employment termination information reported by their current and former broker-dealers from their CRD records and the FINRA BrokerCheck system, as well representing financial advisors with FINRA Form U5 Language Negotiations. Mr. Galvin has also represented financial advisors, broker-dealers, and registered investment advisors in Regulatory Investigations and with responses to FINRA 8210 Request letters.
In addition to practicing as a securities attorney, James P Galvin has worked as a financial planner and previously held FINRA Series 6, 7, 63, and 66 Securities Licenses, as well as various insurance licenses. Mr. Galvin received his Certified Financial Planner Certificate after successfully completing The University of Georgia Terry College of Business Executive Program for Financial Planning Certification with Distinction. He has formerly been registered with broker-dealers and registered investment advisors in both the employee and independent contractor platforms. Mr. Galvin’s financial and securities industry background has given him a unique and valuable perspective in evaluating potential securities fraud claims and in understanding how brokerage firms typically defend fraud cases.
Mr. Galvin also has extensive experience with technology. Prior to graduating with his undergraduate degree, he worked for one of the first internet service providers. He has extensive skills ranging from networking, security, programming, and system operations. Having tried most all of the commercial case management software available, he developed his own case management system tailored to his practice. His case management system integrates task management, and uses automation, machine learning, and artificial intelligence to assist with routine tasks and helps to allow him to manage his practice as a sole practitioner. Mr. Galvin also designed his this website and handles all of its search engine automation.
When not practicing law, James P Galvin is an avid scuba diver. He is a PADI Master Scuba Diver and enjoys exploring deep shipwrecks and diving with sharks. Mr. Galvin is also an avid backpacker and has backpacked in numerous national parks throughout the United States. He also practices yoga and meditation regularly.
He enjoys traveling and experiencing new cultures, and has lived for extended periods in different countries around the world, including three months in Tours, France; six months in Cali, Colombia; three months in Panama City, Panama; and over a year in Punta Cana, Dominican Republic. During his travels through Latin America, Mr. Galvin lived with people from some of the poorest and most dangerous neighborhoods in the world. These experiences have given him a rare glimpse at the extreme suffering, danger, and poverty that so many people live in. Mr. Galvin speaks intermediate level conversation Spanish. Mr. Galvin has a cat named Apollo and a German Shephard he rescued from abuse while living in Cali, Colombia named Charlie who travelled with him through Colombia, Panama, and the Dominican Republic.
22-00657 Brent Walter Ure vs. Ameriprise Financial Services, Inc.
22-00507 Ayad Amary vs. TIAA-CREF Individual & Institutional Services, LLC
21-01912 Julie Smith Johnson vs. UBS Financial Services Inc. and UBS Financial Services Inc.
21-01904 Robert George Funk vs. Merrill Lynch Pierce Fenner & Smith Inc.
21-01848 Michael Lee Escobar vs. Mutual Of Omaha Investor Services, Inc.
21-01283 Anthony J. Riscili vs. Pruco Securities, LLC.
21-01154 Michael Fillers Bolen vs. Wells Fargo Clearing Services, LLC
21-01006 Virginia Frances Thompson vs. Janney Montgomery Scott LLC, Cetera Advisor Networks LLC, Stifel, Nicolaus & Company, Incorporated, UBS Financial Services Inc., and J.P. Turner & Company, LLC
21-00914 Virginia Frances Thompson vs. Janney Montgomery Scott LLC
20-04058 Thomas Roney Chaney vs. LPL Financial LLC
20-03958 Jonathan Sard vs. Purshe Kaplan Sterling Investments
20-03458 Sean Lewis Dobranich vs. Wells Fargo Clearing Services, LLC and Wells Fargo Clearing Services, LLC
20-02828 Nicholas Joseph Meyer vs. Charles Schwab & Co., Inc.
20-02265 Michael Joseph Marshall vs. Citigroup Global Markets, Inc.
20-02262 Gerald Marvin Hast vs. Pro-Integrity Securities, Inc.
20-02267 Michael Joseph Marshall vs. J.P. Morgan Securities, LLC
20-02212 Jacob Robert Goddard vs. Ameriprise Financial Services, Inc.
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22-01400 Harold Reed Madison vs. Raymond James Financial Services, Inc.
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