Blog & Investigations

On March 30, the SEC announced that it was considering adopting stringent new rules to govern so-called special purpose acquisition companies, commonly known as SPACs. The popularity of SPACs as a vehicle to take companies public, without having to undertake all the…

Our firm represents the senior executives of five international environmental advocacy groups in an SEC whistleblower action concerning a bond issuance made by Japan’s infrastructure bank (JICA). JICA raised approximately $500 million from U.S. investors by issuing bonds, the prospectus…

The Galbraith Law Firm is following closely events concerning GWG Holdings to determine how the investors who trusted assurances of high yields will be affected. GWG finances its portfolio of life insurance assets by selling debentures and so-called “L-Bonds.” GWG’s…

We recently resolved an options-trading case for one of our retail investor clients. The client had a once-in-a-lifetime financial event when he sold a business. After using some of the proceeds to support his mother and siblings, he engaged a…

After fifty hours of deliberation that stretched over seven days, a San Jose jury convicted Theranos Founder Elizabeth Holmes of four counts of defrauding investors with her claims about her company’s blood-testing technology. The case has received widespread media attention, spawning best-selling books,…

Representing executives of five environmental non-profits, we have filed an SEC whistleblower complaint against the Japan International Cooperation Agency (JICA), an arm of Japan’s government. JICA has materially harmed U.S. investors and threatens to exacerbate climate change by financing coal-fired…

Representing father-and-son investment advisors in New Jersey, the firm secured a 100% victory in a FINRA arbitration brought by a former customer. On the basis of our written submissions, including multiple detailed affidavits and dozens of exhibits, the arbitrator ruled…

In late 2020, FINRA sent to the SEC for its final review and approval a set of changes to the expungement process that would fundamentally reshape the legal landscape in this area. FINRA’s proposal runs to 557 pages, so we’ll limit our…

Our firm is co-counsel to the plaintiff in a Dodd-Frank whistleblower action pending in the United States District Court for the Southern District of New York, Gupta v. New Silk Route Advisors, L.P., et al. The case recently attracted significant attention…