Evan Barnes

Evan Barnes is special counsel in the firm's Stamford office. Mr. Barnes advises broker-dealers, traders, and investment advisers in connection with regulatory, securities enforcement, litigation and transactional matters. He brings a wealth of in-house experience to his practice. Prior to joining Kelley Drye, he managed the regulatory inquiries groups at Morgan Stanley & Co., Inc. and Banc of America Securities LLC; was a vice president in the compliance division at Citigroup Global Markets, Inc.; and prior to joining Citigroup, while attending law school, Mr. Barnes handled hundreds of regulatory investigations and inquiries for the NYSE’s Division of Enforcement.

A substantial portion of Mr. Barnes’s regulatory practice focuses on handling regulatory investigations and representing broker-dealers and traders in connection with securities enforcement and litigation matters. In addition, Mr. Barnes advises broker-dealers and traders on a daily basis on the securities laws and regulations governing them, including those concerning insider trading, market manipulation, short selling, investment banking, research, supervision, net capital, possession or control, money laundering, registration, and books and records. Mr. Barnes also performs anti-money laundering program audits for broker-dealers and handles national security letters.

Good to know

Areas of Practice 1) Broker-Dealer and 2) Corporate
Law School Brooklyn Law School, (J.D., 2001)
Education Binghamton University, State University of New York, (B.A., 1995)
Bar Member / Association New York State Bar Association
Most recent firm Kelley Drye & Warren LLP
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