Kevin represents investors from coast to coast and overseas. With more than a decade of experience fighting for investors who were harmed by the misconduct of Wall Street brokerage firms, he has helped his clients recover millions of dollars in investment losses.

He represents all types of investors, ranging from inexperienced retail investors to sophisticated high-net-worth individuals. The cases he brings on behalf of these investors involve misconduct including fraud, negligence, breach of fiduciary duty, failure to disclose conflicts of interest and other violations of state and federal securities laws and regulations.

Kevin also represents financial advisors and others in the financial services industry who have become involved in internal investigations and FINRA and SEC regulatory investigations and enforcement proceedings, as well as in proceedings to expunge unwarranted marks on their licenses and employment disputes. He has deep experience in these areas as a result of his numerous years focusing on white-collar criminal defense and regulatory defense work at two nationally prominent law firms.

Drawing on years of experience in white-collar and regulatory defense, as well as in the securities arbitration and litigation arenas, Kevin assists his clients in their efforts to reduce private and public litigation risk. Our work in this area often involves a financial advisor moving from one employer to another as we assist them to ensure that they honor their legal obligations and avoid regulatory pitfalls.

The vast majority of financial advisors, brokerage firms, hedge funds and others in the financial services industry are honest, ethical and principled professionals who want to do the right thing. We help our clients stay on the right side of the law, delivering bottom-line value to their businesses.

Finally, Kevin represents whistleblowers before a variety of regulators, most frequently the U.S. Securities and Exchange Commission (“SEC”). Our job is to work with people who have information demonstrating that a company selling its stocks and bonds to U.S. investors has misled the public in connection with those sales. We take every precaution to protect the identities of our traditional corporate insider whistleblowers and to secure the highest possible whistleblower award if the government brings a successful enforcement action against the wrongdoer. In addition, Kevin has pioneered groundbreaking whistleblower work in the realms of climate change and human rights.

Kevin has earned the highest possible ratings from both Martindale Hubble (“AV Preeminent” indicating the “highest level of professional excellence”) and Avvo (“Superb”), and has been recognized by the New York Law Journal and Martindale Hubble as a “Top Rated Lawyer” in the area of Alternative Dispute Resolution. He has also been recognized by Martindale Hubble as a “Top Rated Litigation Lawyer” in the areas of Legal Ability and Ethical Standards, based upon reviews submitted by his clients and peers.

For a free confidential consultation, please call (212) 203-1249 or email inquiry@kevingalbraithlaw.com.