- 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 broker-dealers in FINRA investigations, involving, among other issues, the issuance and sales of private placement offerings and conservation easements
- Representation of registered investment advisors in SEC investigations, involving, among other issues, the issuance and sales of private placement offerings and conservation easements
- 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
- 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 nationwide. Mr. Galvin founded Galvin Legal, PLLC in 2016 after working for another national 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 disputes, as well as Form U4, Form U5, and Form U6 information reported by their current and former broker-dealers, regulators, and SROs from their CRD record and the FINRA BrokerCheck system. Mr. Galvin is also a member of the Public Investors Arbitration Bar Association.
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.