Firm Overview

About Us

Evans & Kob is a full service corporate and securities firm serving the diverse needs of the financial services industry from the boardroom to the courtroom. We are dedicated to providing experienced and strategic legal counsel to help clients manage risk, structure transactions, protect and maximize opportunities, pursue remedies, resolve disputes and advance their business.

We represent individuals, firms and companies in prelitigation counseling and adversarial and administrative proceedings before state and federal courts, alternative resolution forums (including AAA, FINRA and JAMS) and state and federal regulatory agencies across the United States. We have extensive experience in cases ranging from securities litigation, collection matters, employment matters and customer disputes as well as SEC and FINRA investigations and enforcement actions.

Our corporate practice assists clients in addressing the paramount challenges faced across a broad array of industry sectors in the areas of private equity and debt, venture capital, corporate securities, private offerings and hedge funds, joint ventures and mergers and acquisitions. We advise businesses and entrepreneurs in complex securities transactions, drafting private placement memoranda, financing agreements, partnerships, joint ventures, alliance transactions, stock options and warrants and key employee compensation and agreements (grants, profit interests).

Evans & Kob was built on the foundation of client service through hands-on, practical experience. We endeavor to serve as a strategic partner to our clients by providing cost-effective and superior legal services, understanding our clients’ business and challenges and leveraging our unique experience to fulfill our clients’ objectives. Our practice is built on the understanding that the law is the means to realize our clients’ objectives, but its practice requires an intimate understanding of our clients’ businesses and industries. The current members of our firm include a former chief executive of a FINRA member firm, general counsel and chief operating officer to securities issuers, a Securities and Exchange Commission enforcement attorney and an arbitrator certified by FINRA that know the challenges and objectives faced by broker-dealers, issuers, representatives and investment advisers and offer both legal and practical solutions

Find out more about our practices, offices and people.

Our Principles

Our firm was created based on the following guiding principles:

  • Hands-on, practical experience matters to clients and effective resolution.
  • Collaboration among the firm’s partners with a multidisciplinary approach to resolution of client engagements.
  • Practice with the highest standards of ethics and integrity.
  • Direct engagement with clients, by listening and understanding their business and issues, is paramount to helping them accomplish their desired objectives.
  • Provide superior, cost-effective legal services from commencement to completion guided by our clients’ needs and budget.
  • Perform with skill and intensity without regard to evolving dynamics, demands or challenges.
  • Deliver superior economic performance with a clear understanding of cost, value, client budget and current economic constraints.
  • Draw diverse, challenging engagements to provide value to our clients.
  • Pursue continued education, training and investment in technology to constantly improve the firm, its attorneys and staff and its resources.
Attorney

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.

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Attorney

Jeffrey S. Kob benefits Evans & Kob clients as a seasoned attorney who has experienced securities litigation and arbitration from virtually every perspective for the last 30 years, as a clerk to two federal judges, as a FINRA arbitrator, as an SEC enforcement attorney, as general counsel to a large independent broker-dealer and in private practice as trial counsel to various broker-dealers and registered representatives.

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