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.

Key Capabilities

  • Appeals
  • Arbitration, Mediation and Negotiations
  • Broker-Dealer Rules and Regulations
  • Compliance
  • Contract and Agreements
  • Corporate Formation
  • Litigation
  • Litigation Avoidance
  • Securities
  • Trial

Industry Experience

  • Broker-Dealers
  • Federal and State Regulators
  • Hedge Funds
  • Law Enforcement
  • Securities Self-Regulatory Organizations

Charitable and Civic Involvement

  • Homebound Cooking Program
  • Achilles Track Club
  • Project Ezra