- Representation of financial advisors seeking expungements from their Central Registration Depository (CRD) records and BrokerCheck.
- 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
- Representation of dozens of investors in claims against their brokerage firms and financial advisors
- Admitted and Qualified as an Attorney and Counselor of the Supreme Court of the United States of America
- Marquis Who’s Who in American Law
- SuperLawyers 2019 Florida Rising Star
- SuperLawyers 2020 Florida Rising Star
- SuperLawyers 2021 Georgia Rising Star
- SuperLawyers 2022 Georgia Rising Star
- SuperLawyers 2023 Georgia Rising Star
- SuperLawyers 2024 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 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. Mr. Galvin has also 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.
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 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 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 (Spiegel Grove video, Captain Dan video) and diving with sharks (Tiger Sharks video, Lemon Sharks video). 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 also enjoys drawing and you can view some of his drawings here.
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 (video of apartment); three months in Panama City, Panama (video of apartment, video in Portofino); and over a year in Punta Cana, Dominican Republic (video of apartment, video on Catamaran). 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 conversational Spanish. Mr. Galvin has a cat named Apollo and a German Shephard he rescued from abuse while living in Cali, Colombia named Charlie (video of Charlie) who travelled with him through Colombia, Panama, and the Dominican Republic.
Mr. Galvin has two brothers, a mathematician / data scientist and a medical doctor.
James P. Galvin, Esq. is an active advocate for the rights of registered representatives. Below are comment letters submitted during the public comment periods for FINRA proposed rule changes that affect registered representatives and their rights.
NEW FINRA EXPUNGEMENT RULES (SR-FINRA-2022-024) Comment Letters
- James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024
- James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024
23-03040 Michael Kenneth Depasquale vs. Nationwide Securities, LLC and M Holdings Securities, Inc.
23-02975 David Joseph Scranton vs. Park Avenue Securities LLC
23-03002 Francis John Lojewski, Jr. vs. Nationwide Securities LLC
23-02835 Michael J Bristoll vs. Vanguard Marketing Corporation
23-02772 Inderpal Singh Anand vs. Ameriprise Financial Services, LLC
23-02722 Sneha Neela Mahajan vs. UBS Financial Services Inc.
23-02674 Kevin Kingsley Tamlyn vs. UBS Financial Services Inc. and Merrill Lynch Pierce Fenner & Smith Inc.
23-01956 Michael Lee Escobar vs. Sagepoint Financial, Inc.
23.01913 Michael Thomas Dieschbourg vs. UBS Financial Services Inc.
23-01849 Brian Alan Hagen vs. Concourse Financial Group Securities, Inc.
23-00184 Todd Christian Smith vs. LPL Financial LLC and Citigroup Global Markets, Inc.
23-00505 David Butler Wentz vs. Ameritas Investment Company, LLC
23-01097 Joao Carlos Bastos vs. Citigroup Global Markets, Inc.
23-01257 Andrew Jason Schroeder vs. Cetera Advisors LLC
23-01261 William Eugene Groves vs. Morgan Stanley
23-01274 David Wilson McAdams vs. WFG Investments, Inc.
22-00657 Brent Walter Ure vs. Ameriprise Financial Services, Inc.
22-00507 Ayad Amary vs. TIAA-CREF Individual & Institutional Services, LLC
22-01400 Harold Reed Madison vs. Raymond James Financial Services, Inc.
22-01753 Don Michael Rudolph vs. LPL Financial LLC
22-02729 Vraj Patel vs. UBS Financial Services Inc.
22-02659 Changuttuvan Surendran vs. Continental Broker-Dealer Corp.
22-02320 Timothy Barnard Kneen vs. UBS Financial Services Inc.
22-02319 Timothy Barnard Kneen vs. UBS Financial Services Inc. and Citigroup Global Markets, Inc.
22-02675 Kristina Kimi Nichols vs. Merrill Lynch, Pierce, Fienner & Smith Incorporated
22-01797 Mary Turner Moose vs. Cetera Advisors LLC
22-01788 Loizos Sergios Kapnisi vs. TIAA-CREF Individual & Institutional Services, LLC
22-02238 Joseph C Bowden vs. Merrly Lynch, Pierce, Fenner & Smith Incorporated
21-01912 Julie Smith Johnson vs. UBS Financial Services Inc. and Citigroup Global Markets, 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
21-00688 Kay E Berglund vs. Cetera Advisor Networks 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
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.
19-03511 Luverna Whaley, Individually and on Behalf of her IRA vs. Concorde Investment Services, LLC
19-00961 Carolyn Long vs. A.G.P. / Alliance Global Partners and Peter David Schiff
19-03294 Robert Wayne Warther vs. Securities America, Inc.
18-03860 Heather G. Greenspan, Individually and on Behalf of her IRA vs. Morgan Stanley
18-00992 Debbie Levin vs. Raymond, James & Associates, Inc. et al.
17-02250 Israel Sporn vs. J.P. Morgan Securities, LLC and David Lerner Associates, Inc.
17-02384 Ira Fink and Harriett Chomen vs. Hennion & Walsh Inc.
17-02363 Frederic D. Morgan and Sandra J. Morgan vs. Capital Financial Services, Inc. and Questar Capital Corporation
17-02130 Wayne Taillon vs. Kestra Investment Services, LLC
17-01474 Thomas Olson Individually and on Behalf of his IRA, et al. vs. United Planners’ Financial Services of America, A Limited Partnership
17-01022 Pygmallion Management and Production Co and IRA FBA Charles Black vs. Wells Fargo Advisors Financial Network
17-00984 Marshall Lew on Behalf of His Rollover IRA vs. Kestra Investment Services, LLC
17-00783 Frank T. Whaley, Individually and on Behalf of His IRA, et al. vs. Capital Financial Services, Inc., et al.
16-03691 Jennifer Bass Puente, Individually and on Behalf of Her IRA vs. NYLife Securities LLC
16-03659 Kathryn Hacker, Individually, as Trustee of the Herschel Hunter Trust U/A/ 11/30/88, et al. vs. Euro Pacific Capital, Inc.
16-03629 Terrance Cassidy on Behalf of His IRA vs. H. Beck, Inc.
16-03577 Elizabeth P Hoffmann vs. Wells Fargo Advisors, LLC
16-03315 Simeon J Dabkovich, The Dabkovich Family Trust UAD 01/02/10, and Evonne Dabkovich vs. Foothill Securities, Inc., et al.
16-03112 Isaac Edward Reiner, Isaac E Reiner IRA, et al. vs. The GMS Group, LLC and Laidlaw & Company (Uk) Ltd.
16-01866 David H. Miller vs. Ameriprise Financial Services, Inc.