REPRESENTING FINANCIAL ADVISORS

The second component of the practice at The Galbraith Law Firm is representing financial advisors who need help navigating the difficult terrain in the employment and regulatory contexts. When securities industry employees are treated unfairly and unlawfully by their employers, or are caught up in regulatory enforcement actions and investigations, they need an experienced attorney to protect and enforce their legal rights.

With over a decade of combined experience in securities arbitration and white-collar criminal and regulatory defense, Kevin has exactly the experience investors and financial services employees need most.

Form U-5 Cases

Form U-5 (Uniform Termination Notice for Securities Industry Registration) is a form that brokerage firms must file with FINRA when a broker is terminated. The firm must report the reason for the termination and indicate whether the employee was fired, voluntarily left, or was permitted to resign.

When a broker has reason to believe that a firm has falsely reported the circumstances for his or her departure from the firm, the broker can bring a FINRA arbitration action to “expunge” or alter the U-5 report. If you are a professional working in the securities industry, you should keep in mind that false and damaging information reported on a U-5 form can seriously harm your reputation and career by hindering your ability to find employment.

At The Galbraith Law Firm, we understand that employment-related disputes must be resolved efficiently and fairly. If damaging information is falsely reported on your U-5 form, we will work zealously to protect your career and set the record straight. Understanding that these matters are of the utmost importance to his clients, Kevin handles them with the highest level of skill, care and discretion.

Enforcement Actions & Investigations

Financial advisors work in a highly regulated and scrutinized arena. They are subject to oversight by FINRA, the SEC and other local, state and federal law enforcement entities.

When financial advisors find themselves involved in investigations or enforcement actions brought by FINRA or another agency, they need the best legal representation available, someone with deep experience in the issues that will determine the resolution of their cases.

With over a decade of combined experience in securities arbitration and white-collar criminal and regulatory defense, Kevin has precisely the experience financial services employees need most when confronting the daunting prospect of an investigation or enforcement proceeding. He has dealt successfully with prosecutors and enforcement personnel from FINRA, the SEC, the Department of Justice and state law enforcement frequently over the course of his career.

With his deep experience, he is able to expertly navigate what can be a treacherous and frightening experience for financial services personnel. Crucial judgments include whether and how to cooperate with investigations and enforcement actions, how best to negotiate a fair resolution of a matter, and when the best course of action is to fight.

At The Galbraith Law Firm, we understand that financial advisors and other securities industry personnel who become involved in investigations, enforcement proceedings and employment disputes badly need expert counsel by an experienced attorney. Kevin brings a rare combination of skill, compassion and discretion to bear on these matters, and fights tirelessly to achieve the best possible outcome for his clients.

If you are confronting an investigation or enforcement action or are in the midst of an employment dispute, you should contact The Galbraith Law Firm immediately for a free, confidential consultation.

Internal Investigations

Often the first step a brokerage firm will take when a customer brings a complaint against a financial advisor, or FINRA or some other enforcement entity opens an investigation, is to conduct an internal investigation. A financial advisor’s conduct during the course of that investigation is crucial.

Having represented both companies and individual employees in internal investigations, Kevin understands how to navigate such investigations in a way that is fair to the employee and carefully guards his or her legal rights.

If you are being asked by your employer to participate in an internal investigation concerning either your conduct or the conduct of a colleague, it is vitally important that you receive wise counsel from an attorney experienced in this area. If you find yourself in this situation, you should immediately contact The Galbraith Law Firm for a free, confidential consultation.

Employment Disputes

When a dispute arises between financial advisor or other securities industry employee and his or her employer, the case must be heard at FINRA and a specific set of rules and guidelines apply. Having practiced in the FINRA venue for years, Kevin is well versed at handling these disputes, which can include wrongful termination; discrimination based upon race, ethnicity, sex, sexual orientation or age; and disputes concerning the repayment of promissory notes.

If you are a financial advisor or other securities industry employee involved in a dispute with your employer (or former employer), it is crucial that you receive legal advice from an experienced FINRA attorney. If you find yourself in this situation, you should immediately contact The Galbraith Law Firm for a free, confidential consultation.