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About me

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.


Practice areas


  1. Financial Services: 25%
    11 years
  2. Securities Offerings: 20%
    11 years
  3. Arbitration: 20%
    7 years
  4. M & A: 15%
    11 years
  5. Other: 20%
  6. More 


Payment types:

Cash, Check, Credit card

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Contact info

Evans & Kob, PC

180 E Main Street
Suite 104
Tustin, CA, 92780


We have not found any instances of professional misconduct for this lawyer.
Avvo contributions
Legal answers
Award nameGrantorDate granted
Pro Bono AwardUniversity of Utah S.J. Quinney College of Law2004
Note and Comment EditorUtah Law Review2003
Work experience
TitleCompany nameDuration
PartnerEvans & Kob, PC2010 - Present
CEO, CCOPacific Point Securities, LLC2009 - 2010
General Counsel and Chief Operating OfficerTexas Energy Holdings, Inc.2008 - 2009
Securities Counsel, VP Private ProgramsGrubb & Ellis Realty Investors2005 - 2007
Association namePosition nameDuration
SIFMACompliance and Legal Division2012 - Present
Real Estate Investment Securities AssociationDue Diligence Committee2010 - Present
The National Due Diligence AllianceMember2008 - Present
Legal cases
Case nameOutcome
James R. Zazzali et. al. v. AFA Financial Group et. al.Dismissed
Hedlund v. Waveland Capital Partners LLCDefense of Broker-Dealer and Representative - All claims denied
Wismer v. MCL FinancialDefense of Representative - Dismissed
See all legal cases 
School nameMajorDegreeGraduated
University of Washington School of LawTaxationLL.M - Master of Laws2005
University of Utah S.J. Quinney College of LawLawJD/MBA - Juris Doctorate and MBA2004
University of California - BerkeleyHistory and Political ScienceBA - Bachelor of Arts1999
Speaking engagements
Conference nameTitleDate
Spring SymposiumOil & Gas Programs2012
Spring SymposiumDPP Marketing: Your Obligations Under FINRA2012
REISA Annual ConferenceMad Men Meet Reg D: The End of the Prohibition Against General Solicitation and Advertising2012
REISA Annual ConferenceEnergy 401: Due Diligence Practices from a Sponsor and Program Level Perspective Opportunity2012
Oil & Gas SymposiumOil & Gas Private Placement Evaluation Issues2012
2012 Real Estate SymposiumReal Estate Private Placement Evaluation Issues: Disclosure, Structure, Investor Rights and Economics2012
REISA Annual SymposiumFundamentals of Direct Participation Programs2011
REISA Annual ConferenceOil & Gas Program & Sponsor Evaluation Practices2011
REISAOil and Gas Fundamentals2010
NAIBDDue Diligence2010
Tenant in Common Association Annual ConferenceOil and Gas Fundamentals2008