Legal Background

Kevin S. Koplin specializes in the area of broker-dealer regulation, compliance, and enforcement. A former FINRA Compliance Examiner, he counsels clients in drafting operating agreements, incorporating broker-dealers and holding companies, and preparing the broker-dealer application for submission to the appropriate securities self-regulatory organization. For existing broker-dealers, he counsels clients on ongoing compliance, regulatory, and enforcement matters before the SEC, FINRA, NYSE, AMEX, PHLX, and other federal and state regulatory agencies. He also represents clients in connection with regulatory audits, customer actions, and FINRA arbitrations. In addition, Kevin represents clients in commercial litigation avoidance, as well as corporate transactions and private placements.

Kevin’s clients range from individuals to large hedge fund-backed broker-dealers, domestic and foreign entities, and members of the various securities and commodities exchanges.