James P. Galvin is the founder of Galvin Legal, PLLC. He is a member of the Florida Bar and is admitted to practice before all Courts of the State, the Georgia Bar and is admitted to practice before all Courts of the State, the Bar of the United States District Court for the Southern District of Florida, the Bar of the United States District Court for the Northern District of Georgia, the Bar of the United States Court of Appeals for the Eleventh Circuit, the American Bar Association, the National Italian American Bar Association, and the Dade County Bar Association. He is also a member of the Public Investors Arbitration Bar Association (PIABA), an association of securities attorneys who dedicate their practices to the representation of investors defrauded by their financial professional or brokerage firm.
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.
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, he completed the litigation skills program, which included serving as a Certified Legal Intern with the Miami-Dade State Attorney’s Office. Mr. Galvin actively participated in the Investor Rights Clinic as a Certified Legal Intern, Returning Fellow, and Research Assistant to the Clinic Director, Teresa Verges. 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 also 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.
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.
In addition to practicing as a securities attorney, Mr. 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 successfully completed The University of Georgia Terry College of Business Executive Program for Financial Planning Certification with Distinction. He has formerly been registered with broker-dealers 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.
When not practicing law, Mr. Galvin is an avid scuba diver. He is a PADI Master Scuba Diver and enjoys exploring deep shipwrecks and diving with sharks.
- Brokerage Firm Counterclaims: Firms’ Attempts To Turn Liabilities Into Assets
PIABA Bar Journal (2014), Vol. 21, No. 3