Overview
Ed Barkel is the lead 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, General Counsel and Chief Compliance Officer 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.
Memberships & Affiliations
- PLUS Professional Liability Underwriters Society
- Financial Planning Association, Member
- Securities Industry Association Compliance and Legal Division, Member