Edwin A. Barkel

Ed Barkel is the lead partner in the firm’s Securities Litigation and Broker-Dealers Litigation Practice Group. He defends broker-dealers and individual brokers in arbitrations and litigated matters. 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 Protection 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 protection 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 worked for eight years in the securities industry before joining Lewis Roca in 2002. He has been 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 entering the securities industry, he spent six years in private practice concentrating on mergers and acquisitions, general corporate matters, securities, and litigation.

Often the first to proactively identify an issue before it becomes a problem, Ed’s clients value his creative problem solving abilities and direct communication style. He is personable, accessible, and engaging. Building relationships with his clients is one of the highlights of Ed’s practice.

Ed was not one of those kids who decided to be a lawyer at age five. It wasn’t even a career he considered until a high school teacher recognized his aptitude for business and understanding of the law. Ed chose a law school that offered a dual JD/MBA program. This turned out to be one of the smartest decisions he has ever made.

On the weekends, Ed can be found outdoors exploring “America’s best kept secret” also known as Arizona.