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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?

Partner

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
Background

Employment History

  • Examiner
    FINRA Compliance Examiner
  • Securities Regulatory Attorney
    McCabe Flynn

Board Memberships and Affiliations

  • Active Member
    Temple Israel
  • Congregation's Liaison and Coordinator
    Project Ezra
70 Total References
Web References
Attorneys | Barton LLP
www.bartonesq.com [cached]
KEVIN S. KOPLIN
Partner
KEVIN S. KOPLIN | Barton LLP
www.bartonesq.com [cached]
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
www.bartonesq.com [cached]
Kevin S. Koplin
212.687.6262
Barton LLP
www.bartonesq.com [cached]
KEVIN S. KOPLIN Partner kkoplin@bartonesq.com
Barton LLP
www.bartonesq.com [cached]
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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