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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.
Cash, Check, Credit Card
|Award Name||Grantor||Date Granted|
|Pro Bono Award||University of Utah S.J. Quinney College of Law||2004|
|Note and Comment Editor||Utah Law Review||2003|
|Partner||Evans & Kob, PC||2010 - Present|
|CEO, CCO||Pacific Point Securities, LLC||2009 - 2010|
|General Counsel and Chief Operating Officer||Texas Energy Holdings, Inc.||2008 - 2009|
|Securities Counsel, VP Private Programs||Grubb & Ellis Realty Investors||2005 - 2007|
|Association Name||Position Name||Duration|
|SIFMA||Compliance and Legal Division||2012 - Present|
|Real Estate Investment Securities Association||Due Diligence Committee||2010 - Present|
|The National Due Diligence Alliance||Member||2008 - Present|
|Hedlund v. Waveland Capital Partners LLC||Defense of Broker-Dealer and Representative - All claims denied|
|Wismer v. MCL Financial||Defense of Representative - Dismissed|
|Michael G Powell et al. vs. Private Asset Group, Inc. et al.||Dismissed Prior to Arbitration by Claimant - Represented One of Two Broker-Dealers Respondents Named|
|See all Legal Cases|
|University of Washington School of Law||Taxation||LL.M - Master of Laws||2005|
|University of Utah S.J. Quinney College of Law||Law||JD/MBA - Juris Doctorate and MBA||2004|
|University of California - Berkeley||History and Political Science||BA - Bachelor of Arts||1999|
|Spring Symposium||Oil & Gas Programs||2012|
|Spring Symposium||DPP Marketing: Your Obligations Under FINRA||2012|
|REISA Annual Conference||Mad Men Meet Reg D: The End of the Prohibition Against General Solicitation and Advertising||2012|
|REISA Annual Conference||Energy 401: Due Diligence Practices from a Sponsor and Program Level Perspective Opportunity||2012|
|Oil & Gas Symposium||Oil & Gas Private Placement Evaluation Issues||2012|
|2012 Real Estate Symposium||Real Estate Private Placement Evaluation Issues: Disclosure, Structure, Investor Rights and Economics||2012|
|REISA Annual Symposium||Fundamentals of Direct Participation Programs||2011|
|REISA Annual Conference||Oil & Gas Program & Sponsor Evaluation Practices||2011|
|REISA||Oil and Gas Fundamentals||2010|
|Tenant in Common Association Annual Conference||Oil and Gas Fundamentals||2008|