Galvin Legal, PLLC

FINRA BrokerCheck CRD Expungement Attorney

Regulatory Investigations

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Do you need legal representation in an SEC and/or FINRA Regulatory Investigation?

Regulatory InvestigationsGalvin Legal provides legal representation to financial advisors, broker-dealers, and registered investment advisors undergoing SEC and/or FINRA Regulatory Investigations.

Types of Regulatory Investigations:

FINRA 8210 Requests

James is one of the most detail oriented, caring and conscientious attorneys I have ever met and/or worked with!! He truly cares about his clients and fights for their most advantageous outcome. Plus, he is a great communicator!

Prospective clients may not obtain the same or similar results.

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