|
|
| Phone: (203) 351-8042 |
Fax: (203) 327-2669 |
| vCard: |
 |
| |
Evan Barnes is an associate in the firm’s Stamford office. He concentrates his practice on advising broker-dealers, including those that provide the full range of securities services, clearing firms, specialist firms, smaller firms engaged in direct access businesses, and those with offshore businesses.
Mr. Barnes counsels broker-dealers regarding regulatory, litigation and transactional work. His regulatory practice addresses the vast majority of the securities law and regulatory requirements applicable to broker-dealers, covering: sales and trading, including insider trading and market manipulation; supervision; registration; net capital; possession or control; research; anti-money laundering; trade reporting; and books and records. A substantial portion of Mr. Barnes’s regulatory practice focuses on handling regulatory investigations and examinations. Mr. Barnes also provides securities-related litigation support including, the preparation of witnesses for depositions and trial testimony as well as the drafting of pleadings, motions and briefs.
Mr. Barnes’s transactional practice focuses on algorithmic trading, commission sharing, clearing, soft dollar, software licensing and employment agreements and membership and FINRA Rule 1017 applications.
Prior to joining Kelley Drye, Mr. Barnes was a vice president in the compliance area at Citigroup Global Markets and Bank of America Securities and a compliance manager with Morgan Stanley. |
| |
Memberships and Associations:
American Bar Association
Massachusetts Bar Association
New York State Bar Association |
| |
Client Advisories:
"Changes to Form U-4 and U-5 and BrokerCheck," June 25, 2009.
"Cost Basis Reporting," October 22, 2008.
"New York's Highest Court Clarifies U-5 Immunity," April 04, 2007.
|
| |
Bar Admissions:
Connecticut, 2006
New York, 2003
Massachusetts, 2002
|
| |
| Education:
Brooklyn Law School, J.D., 2001
SUNY - Binghamton, B.A., economics, 1995
|
| |
Office Location:
400 Atlantic Street
Stamford, CT 06901
|
| |
|
