Ed Barkel is a partner in the firm’s Securities Litigation practice group. He defends broker-dealers and individual brokers in arbitrations and litigated matters. A significant portion of his practice is devoted to defending independent financial services firms and their advisors. He also provides consulting services in compliance-related matters including supervisory system design, special investigations, special supervision programs, branch office examinations and regulatory mandated consulting. His securities industry background enables him to offer unique “insider” insight, knowledge, experience and understanding to clients.
Ed worked for eight years in the securities industry before joining Lewis Roca Rothgerber in 2002. Ed has been Senior Vice President and General Counsel for a mid-sized broker-dealer and prior to reentering private practice was the Associate General Counsel and an Assistant Director of Compliance at SunAmerica Securities, Inc. He also spent two years as a securities registered representative before moving into management.
Ed held several securities licenses including, NASD Series 7, 24, 63 and 65. Ed also held Life, Health and Variable Insurance licenses and has acted as an expert witness in securities arbitration matters.
Prior to entering the securities industry, he spent six years in private practice concentrating on mergers & acquisitions, general corporate matters, securities, and litigation.
- Elder Financial Abuse and Exploitation (Protecting Clients and Avoiding Liability), NEXT Financial Group Inc., 2015 National Educational Conference
- On the Record Interviews, Woodbury Investments Regional Manager Meeting, 2011
- FINRA Arbitration Update, Securities Regulation Section of the State Bar of Arizona, 2011
- Hot Topics for In-House Counsel in Evolving Regulatory Landscape, Lewis and Roca Year-End CLE for In-House Counsel, 2011
- Current Issues In Securities Arbitration, Scottsdale Insurance Underwriters, 2009
- Securities Arbitration, Regulatory Issues and Claim avoidance, United Planners Annual Partners Conference, 2009
- Business Succession Planning, FPA of Greater Phoenix, 2008
- Business Succession Planning, Society of Financial Service Professionals, 2006
- Business Succession Planning, Carillon Investments National Conference, 2004
- Investment Advisor Regulatory Update, FPA of Greater Phoenix, 2004
- Annual Firm Element Compliance Program, Wachovia Securities Phoenix Complex, 2003
- Suitability Conference, National Regulatory Service, 2002
- Annual Firm Element Compliance Program, Wachovia Securities Phoenix Complex, 2002
- The Best Lawyers in America - Woodward/White, Aiken, S.C. - Commercial Litigation and Securities Litigation, 2013-2017
- Martindale-Hubbell - "AV/Preeminent Attorney" Rating