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2016-02-10T00:00:00.000Z

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Kevin Koplin S.

Partner

Barton LLP

HQ Phone: (212) 687-6262

Barton LLP

420 Lexington Avenue

New York, New York 10170

United States

Company Description

BB&P provides effective and creative personal, financial, charitable and tax representation and planning to individuals, closely held companies, not-for-profit entities, charities and foundations. As a small practice group within a full service corporate ... more

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Background Information

Employment History

Securities Regulatory Attorney
McCabe Flynn

Affiliations

Active Member
Temple Israel

Congregation's Liaison and Coordinator
Project Ezra

Web References (70 Total References)


Attorneys | Barton LLP

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KEVIN S. KOPLIN

Partner


KEVIN S. KOPLIN | Barton LLP

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KEVIN S. KOPLIN

Partner
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.
KEVIN S. KOPLIN


Broker-Dealer Securities Regulations | Barton LLP

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Kevin S. Koplin

212.687.6262


Barton LLP

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KEVIN S. KOPLIN Partner kkoplin@bartonesq.com


Barton LLP

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Kevin Koplin Barton LLP

P: 212.687.6262 F: 212.687.3667
...
KEVIN S. KOPLIN Partner
...
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.

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