Edwin A. Barkel

Ed Barkel defends broker-dealers and individual brokers in litigation and arbitration proceedings. 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 is also a partner in the firm’s Litigation Practice Group and is a member of the firm’s Data Privacy and Cybersecurity Practice Group. He regularly advises broker-dealers, investment advisors, and insurance companies on privacy under Regulation S.P. He also consults with and advises clients about data privacy and security matters. He guides clients through increasingly complex regulatory and statutory requirements for collecting, processing, and protecting personal information. Furthermore, Ed helps clients implement and enforce privacy policies and properly respond to data security incidents.

Ed has almost a decade of experience working within the finance sector in securities related roles. He was previously 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 has held several securities licenses including, NASD Series 7, 24, 63 and 65. He has also held life, health, and variable insurance licenses and has acted as an expert witness in securities arbitration matters.

Prior to focusing on the financial regulation industry, he spent six years in private practice concentrating on mergers and acquisitions, general corporate matters, securities, and litigation.