Blog & Investigations

SEC Whistleblower Action against Japan’s Government

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…

Firm Secures Victory for Investment Advisors

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…

Indian Media Features Dodd-Frank Whistleblower Action

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…

COVID-19 Market Meltdown May Expose Unsuitable Investments

With the stock market plummeting and the years-long bull market at an end, many investors are feeling some combination of panic, resignation or at the very least, deep concern. Many investors, when they see significant losses in their portfolios—whether realized…

Galbraith Featured in Think Advisor Article on Financial Advisory Teams

Think Advisor recently published a piece by executive recruiter Mark Elzweig titled, “Six Steps to Take Before You Build a Team,” which featured thoughts and insights from Kevin Galbraith on the topic of how financial advisors can protect their legal and economic…

SEC Proposes Overhaul of Advertising and Solicitation Rules

The Securities Exchange Commission (SEC) has proposed a major change to the rules governing investment advisers. Under the proposed rule, advisers would be empowered to post testimonials, endorsements and third-party ratings on social media, ending a decades-long ban on many types…