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Consulting on Litigation Risk

Drawing on years of experience in white-collar and regulatory defense, as well as in the securities arbitration and litigation arenas, this portion of our practice at The Law Office of Kevin Galbraith is focused on reducing litigation risk.

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 in several ways.

Reducing Private Litigation Risk

The risk of private litigation is a real one for any business, and for hedge funds, brokerage firms and other financial services companies, the stakes of even a single case can be enormous.

We consult with companies and individuals seeking to stay out of court and stay focused on their businesses. With over a decade of experience on both sides of private securities litigations, including complex mass and class actions, we are well positioned to advise our clients on how to steer clear of the plaintiffs’ bar.

The guidelines for avoiding private litigation risk are simple:

  • Transparency in communications and investment strategy
  • Full disclosure in written materials
  • A culture of compliance
  • Vigilant supervision
  • Thorough due diligence during the hiring process
  • Leadership that models ethical conduct
  • An incentive structure that rewards high ethical standards and compliance

Applying these principles to each of our client’s businesses is where we add critical value, and our engagements are tailored to fit each company’s specific needs.

Reducing Enforcement Risk

The risk of civil or even criminal enforcement actions by government agencies keeps many in the financial services industry awake at night.

With a newly aggressive Justice Department rendering multi-billion-dollar fines and scoring multiple insider-trading convictions, an SEC demanding admissions of wrongdoing even when extracting record-breaking settlements and even FINRA’s Enforcement Division seemingly emboldened, our financial services clients need to be prepared for anything.

Even better than mounting a strong defense is preventing the need for one. The Law Office of Kevin Galbraith embraces the philosophy that an ounce of prevention is worth a pound of cure. With years of experience counseling clients who have become embroiled in civil and criminal enforcement actions brought by the SEC, the Justice Department and FINRA, we are well positioned to troubleshoot and help our clients stay out of the government’s crosshairs.