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This profile was last updated on 2/10/16  and contains information from public web pages and contributions from the ZoomInfo community.

Kevin S. Koplin

Wrong Kevin S. Koplin?


Phone: (212) ***-****  HQ Phone
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...   more

Employment History

  • Partner and Lawyer At Law Firm
    Barton LLP
  • Attorney
    Barton LLP
  • Member, Bronx District Attorney's Office
    McCabe Flynn
  • Securities Regulatory Attorney
    McCabe Flynn
38 Total References
Web References
Attorneys | Barton LLP, 10 Feb 2016 [cached]
KEVIN S. KOPLIN | Barton LLP, 10 Feb 2016 [cached]
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.
Broker-Dealer Securities Regulations | Barton LLP, 10 Feb 2016 [cached]
Kevin S. Koplin
Extension Deadline for the SEC’s Large Trader Reporting Rule: | Barton LLP, 4 May 2012 [cached]
For any questions regarding compliance to the 13-h rule or other SEC regulations, please contact Abe Mastbaum, Esq., at, or Kevin Koplin, Esq., at
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
How to Meet FINRA RULE 2111 on Suitability Standards | Barton LLP, 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
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
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