Partner

Kevin S. Koplin

212.885.8838 kkoplin@bartonesq.com
Partner

Kevin S. Koplin

212.885.8838 kkoplin@bartonesq.com
View All Attorneys

Kevin S. Koplin specializes in the area of broker-dealer formation, regulation, compliance, and enforcement. A former FINRA Compliance Examiner, his clients range from individuals to large hedge fund-backed broker-dealers, domestic and foreign entities, and members of the various securities and commodities exchanges.

One of Kevin’s specialties is the formation of new broker-dealers. He has helped numerous former employees of financial services firms such as Goldman Sachs, Newedge (formerly Fimat), Millennium Partners, Salomon Smith Barney, Spear, Leeds & Kellogg, and UBS establish their own broker-dealers. Among the firms he has helped his clients create are: Axiom Management Partners, CQ Solutions, Direct Access Partners, Olean Capital Management, Resource Production Advisors, Secondcap Ltd, Summit Securities Group, Thales Trading Solutions, and Trinity Derivatives Group. To establish the new firms he creates operating agreements, incorporates the broker-dealers and holding companies, and prepares the broker-dealer application for submission to the appropriate self-regulatory organizations.

For existing firms, he counsels them and their registered representatives 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 and customer and industry-initiated arbitrations. In addition, Kevin represents clients in commercial litigation avoidance, as well as corporate transactions and private placements.

With 20 years of legal experience, in addition to FINRA, prior to joining Barton, Kevin was with the Bronx District Attorney’s Office, One, Inc., and McCabe, Flynn & Arangio.

An active member of Temple Israel, he is the congregation’s liaison and coordinator for Project Ezra, a non-profit organization that assists elderly and impoverished Jewish people on the Lower East Side of Manhattan.

Practices
Industry Experience
B

Matters

Close
Arbitration
  • Achieved Full Amount Sought for Broker-Dealer in Arbitration
    • Represented a broker-dealer in a FINRA arbitration where the client was not only awarded the full amount sought, but also legal fees and interest. The respondent sought to vacate the award in federal court, but the Southern District of New York confirmed the award and awarded legal fees for the action before the Court.
Regulatory Investigations and Enforcement
  • Achieved Favorable Outcome in Four-Year Investigation
    • Represented a broker-dealer client during a nearly four-year investigation and caused a securities regulator to relent in its claims that the client had duties to the customers of an investment advisor for whom the client executed trades.
  • Defended Client and Avoided Sanctions in Case by Securities Regulator
    • Represented and defended a registered representative and his supervisor in an investigation by a securities regulator regarding the acceptance of multiple international, round-trip airline tickets by a broker-dealer employer’s preferred airline vendor. The case was closed by the securities regulator with neither sanctions imposed nor the issuance of a letter of caution.
Financial Services, Investment Funds and Securities Regulations
  • Negotiated $20,000 Penalty Against Securities Regulator
    • Represented a broker-dealer in negotiating a $20,000 penalty against a securities regulator for failure to have written supervisory procedures that addressed pricing reviews. The counter-party to those very same trades was sanctioned nearly $1,000,000.
  • Aided Litigation Team in Recovery of $4 Million in Arbitration
    • Provided critical legal insights to a litigation team on state registration requirements for securities broker-dealers in over 25 states. The registration issues enabled the litigation team to recover nearly $4,000,000 in referral fees and interest in a FINRA arbitration.