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Brett G. Evans

Orange County
Phone: 657.210.2114 ext. 101
Fax: 888.956.7890
brett@eklawpc.com
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Brett Evans delivers experience in securities, corporate, mergers and acquisitions, energy and tax law with his securities career beginning in 1995. At Evans & Kob, Evans counsels corporations, asset management companies, securities issuers, broker-dealers, investment advisers, registered representatives and other financial industry participants in the areas of securities offerings, arbitration, litigation, broker-dealer and registered investment adviser regulation, compliance, due diligence, securities investigation and enforcement and a diverse range of transactional matters. During his career, Evans has been involved in structuring and drafting more than $1.7 billion in private placement and joint venture transactions in energy, real estate and debt and related agreements, over $130 million of acquisitions and dispositions in oil and gas leases, oil and gas drilling rigs and equipment, mineral sales and leasing and investment real estate, SEC and state investigations and enforcements as well as the successful defense in arbitrations and litigation cases and favorable settlements in various forums or courts in several states.

Prior to forming Evans & Kob, Evans served in various legal and executive capacities with both public and private companies in the finance, energy and real estate industries. Immediately prior to the firm, Evans successfully formed, was granted membership and served as the chief executive officer and chief compliance officer of a FINRA member firm focused on investment banking and bringing quality investments to the independent broker-dealer channel. He was responsible for all aspects of the broker-dealer, including legal, compliance, strategic direction and due diligence on offerings. In addition, he provided contractual due diligence for a top 50 independent broker-dealer and provided advisory services to other investment management companies.

Prior to returning to California, Brett Evans was the general counsel and chief operating officer of Texas Energy Holdings, Inc., a vertically integrated, Inc. 500 oil and gas company primarily drilling and operating in Texas. In his role, Evans worked on all acquisitions, both oil and gas leases (negotiation, due diligence and purchase and sale agreements), major equipment purchases and building and land acquisitions. From a securities standpoint, he drafted all private placement memoranda for oil and gas syndications in both drilling and production programs, whereby the company increased assets under management from $10 million to over $100 million. Further, Evans oversaw corporate controls and policies, managed potential litigation and risk as well as handled other corporate legal matters for its affiliated companies and joint venture enterprises.

Prior to Texas Energy, Brett Evans was securities counsel and vice president of private programs for Grubb & Ellis Realty Investors (f/k/a Triple Net Properties). At Grubb & Ellis, Evans worked closely between the acquisitions team, the affiliated broker-dealer and outside securities counsel to produce securities offering material with a focus on full and fair disclosure. In addition, Evans assisted with the general compliance of the broker-dealer including review of marketing material and other external communications. Evans’ career in the securities industry began in 1995 in operations and compliance for a large independent broker-dealer based in Orange County. While working alongside the chief compliance officer, he researched current and potential arbitration claims in support of outside counsel, investigated and responded to customer complaints and reviewed trade reporting.

Brett Evans is a graduate of the University of Washington School of Law (LL.M. in Taxation, 2005), the University of Utah (J.D., 2004 and M.B.A., 2004) and the University of California, Berkeley (B.A., History and Political Science, 1999). During his time in law school, Evans was the Note and Comment Editor of the Utah Law Review. Evans is admitted to practice law in California and was previously registered with the Financial Industry Regulatory Authority, Inc. holding Series 7, 24, and 63 licenses. Evans is a member of the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Division, the Real Estate Investment Securities Association and The National Due Diligence Alliance.

Representative Matters – Transactional
  • Structured and/or drafted more than $1.7 billion in private placement offerings and joint venture transactions in energy (drilling, production, minerals and renewable energy), real estate (office, multifamily, healthcare and retail) and debt offerings
  • Acquisitions and dispositions in excess of $130 million consisting of: thousands of acres of producing and nonproducing oil and gas leases primarily in Archer, Gaines, Martin and Wichita Counties, Texas; oil and gas drilling equipment including four drilling and work-over rigs; real estate infrastructure supporting drilling operations; mineral sales and leasing in California, Utah and Texas; corporate buyout of majority shareholder; and multifamily properties in San Diego County
  • Negotiated over $50 million corporate line of credit for private oil and gas company
  • Engaged to provide contractual due diligence for independent broker-dealers and, independent, external due diligence committee member for an independent broker-dealer
  • Engaged as underwriter’s counsel on initial public offering of international company
  • Completed FINRA approved formations and change in ownership, control or business operations of multiple broker-dealers
  • Drafted numerous operating and partnership agreements, letters of intent/memorandums of understanding, term sheets, investment banking agreements, managing and soliciting broker-dealer agreements, solicitor/investment adviser agreements and subscription agreements/purchaser questionnaires
Representative Matters – Arbitration, Litigation and Regulatory Matters
  • Dismissal of key sales executive in SEC investigation of alleged sales practice and disclosure violations involving an oil and gas securities offering
  • Denial of all claims in first full-cycle DBSI claim in FINRA arbitration jointly representing the broker-dealer and registered representative
  • Dismissal of registered investment adviser and registered representative in DBSI Private Actions Trustee case with no settlement funds provided to the plaintiff in U.S. District Court of Delaware.
  • Dismissal of broker-dealer in alternative investment arbitration prior to arbitration with no settlement funds provided to the claimant
  • Dismissal of registered representative and due diligence analyst in alternative investment arbitration prior to arbitration with no settlement funds provided to the claimant
  • Dismissal of federal and state wrongful termination, discrimination, retaliation and harassment claims against employer in U.S. District Court of California.
  • Defended and settled claims for broker-dealers and registered representatives in several arbitration and litigation cases for 1-20% of claimed damages by claimants/plaintiffs
Representative Speaking Engagements
  • “Energy Taxation & Offering Structure Developments” – REISA, Annual 2013
  • “Private Placements: Rules 5122/5123, JOBS Act, Structures” – Mick & Associates, Real Estate Symposium 2013
  • “Due Diligence and Product Review of Energy Income Programs” – REISA, Spring 2013
  • “Oil & Gas Sponsor-Level Review” – Mick & Associates, Energy Symposium 2013
  • “Oil & Gas Tax Panel” – Mick & Associates, Energy Symposium 2013
  • “Energy Income Designed Products: Royalties and Producing Assets” – REISA, Spring Symposium, 2012
  • “Mad Men Meet Regulation D: The End of the Prohibition Against General Solicitation and Advertising” – REISA, Annual Conference 2012
  • “Energy 401: Due Diligence Practices from a Sponsor and Program Level Perspective Opportunity” – REISA, Annual Conference 2012
  • “Oil & Gas Programs” – REISA, Spring Symposium 2012
  • “Direct Participation Program Marketing: Obligations under FINRA rules” – REISA, Spring 2012
  • “Oil & Gas Private Placement Evaluation Issues” – Mick & Associates, Oil & Gas Symposium, 2012
  • “Real Estate Private Placement Evaluation Issues: Disclosure, Structure, Investor Rights and Economics” – Mick & Associates, Real Estate Symposium 2012
  • “Fundamentals of Direct Participation Programs” – REISA, Annual Conference 2011
  • “Oil & Gas Program & Sponsor Evaluation Practices” – REISA, Annual Conference 2011
  • “Oil and Gas Fundamentals” – REISA, Annual Conference 2010
  • “Due Diligence” – National Association of Independent Broker/Dealers (NAIBD), Spring Symposium 2010
  • “Oil and Gas Fundamentals” – TICA, Annual Conference 2008

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