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This profile was last updated on 7/19/14  and contains information from public web pages and contributions from the ZoomInfo community.

Partner

Barton LLP
Phone: (212) ***-****  HQ Phone
Email: k***@***.com
Barton Barton & Plotkin LLP
Graybar Building, 18Th Floor 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...   more
Background

Employment History

33 Total References
Web References
Barton LLP
www.bartonesq.com, 1 Oct 2012 [cached]
KEVIN S. KOPLIN Partner kkoplin@bartonesq.com
Broker-Dealer Securities Regulations | Barton LLP
www.bartonesq.com, 2 July 2014 [cached]
Kevin S. Koplin
212.687.6262
KEVIN S. ...
www.bartonesq.com, 27 Oct 2013 [cached]
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.
How to Meet FINRA RULE 2111 on Suitability Standards | Barton LLP
www.bartonesq.com, 1 Feb 2012 [cached]
In the interim, if you have any questions about this FINRA rule or other FINRA-related matters please contact Kevin S. Koplin, Esq at kkoplin@bartonesq.com.
Tags: Barton LLP, BD, broker, broker-dealer, certificate, client letter, dealer, finance, FINRA, FINRA rule 2111, investment strategy, Kevin Koplin, NASD, requirements, Securities Industry and Financial Markets Association, SIFMA, Suitability Standards
Extension Deadline for the SEC’s Large Trader Reporting Rule: | Barton LLP
www.bartonesq.com, 4 May 2012 [cached]
For any questions regarding compliance to the 13-h rule or other SEC regulations, please contact Abe Mastbaum, Esq., at amastbaum@bartonesq.com, or Kevin Koplin, Esq., at kkoplin@bartonesq.com.
...
Tags: 13H, 13h-1, Abe Mastbaum, Barton LLP, BD, broker, broker-dealer, Kevin Koplin, Large Trader Reporting Rule, SEC, Securities Industry and Financial Markets Association, transactions
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