Boutique Law Firm Representing Corporate and Individual clients
We are a boutique litigation practice primarily representing individual clients and small registered entities. The firm also helps individuals and small companies from the simplest business transactions to much more complicated matters involving real estate or complex business transactions.
WHO WE ARE
Kevin T. Duffy, Jr. - Attorneys at Law LLC
Established by Kevin Thomas Duffy Jr.
Unlike other so-called litigation attorneys, we have extensive trial and appellate experience.
We have trial experience before the United States District Courts in Connecticut and New York, and the trial courts of both Connecticut and New York. We have represented clients in arbitrations before the American Arbitration Association (AAA) and FINRA. We have also represented clients in appeals to the United States Court of Appeals (First, Second and Third Circuits) and the appellate courts in both New York and Connecticut.
Much of our work originates from other attorneys who are familiar with our strong reputation for handling complex matters. Because we operate as a small firm, we are able to handle complex cases on a cost-effective basis.
Our Practice Areas
Securities Arbitration
The firm of Kevin T. Duffy Jr. – Attorneys at Law LLC is uniquely qualified to represent individuals’ claimants, as well as respondents in FINRA and AAA arbitrations.
Employment Litigation and Arbitration
The firm of Kevin T Duffy, Jr. – Attorneys at Law LLC only handles plaintiff or claimant employment matters. The reason is simple. We prefer to represent individuals.
EB-5 and Immigration Litigation
The firms and its attorneys do not handle standard immigration matters but rather represent individuals who have been cheated by EB-5 promoters, or for individuals who need assistance in pushing along their EB-1, EB-2 or EB-3 applications, including filing claims in a United States District Court. EB-5 promoters are covered by the United States securities laws and regulations.
SEC Whistleblower
The firm successfully represented individual tipsters in applications for a whistleblower award. In one recent case the SEC awarded the tipster 1.1 million dollars.
Estate-Broker Claim
The firm’s principal Kevin T. Duffy, Jr. has represented both plaintiffs/claimants and defendants/respondents in hundreds of matters over the last quarter century. In particular, the firm has unique experience of having represented trusts and estates in actions against registered representatives of broker dealers.
White Collar Criminal
The firm’s principal has represented many individuals in cases involving fraud or other “white collar” criminal matters.
Regulatory
The attorneys at our firm often help regulated entities comply with the laws and regulations of the United States. When we take on this role we may help companies monitor and research the ever changing regulatory compliance issues relating to financial services companies by preparing summary analysis, drafting documents and making recommendations to the Chief Compliance Officer (“CCO”) and senior management. Our attorneys have often held the outsourced position of CCO and/or general counsel. In that role, we try to make sure that a client is compliant with Federal and state regulations by creating and implementing policies and procedures, and conveying that to all employees.
Corporate
The firm’s attorneys have helped numerous businesses over the years, from formation to dissolution and virtually everything in between. The firm’s primary corporate law practice involves setting up new financial services businesses and registering them with the appropriate state or federal agency. Mr. Duffy has set up and registered dozens of broker-dealers and investment advisers over the last 20 years. He has used both state registration and registration with Federal agencies through FINRA to help establish new businesses. Mr. Duffy also continues to provide ongoing legal and compliance services to some of these entities as an outsourced general counsel and chief compliance officer.
Need Legal Help? Get in Touch Today!
Kevin T. Duffy, Jr.
kevin@kevintduffyjr.com
203-531-3300
165 West Putnam Avenue
Suite 2B
Greenwich, CT 06830
Past President – Federal Bar Association – CT Chapter
We prioritize your needs with personalized solutions, ensuring clarity and peace of mind throughout your legal journey.
Timely updates with transparent communication—no surprises, keeping you informed and in control throughout your case.
AV® Preeminent™ Peer Review Rated in Contact
Martindale-Hubbell™