Evans Law, PC · Attorney Advertising
Tustin, California
On air · Attorney advertising · Tustin, CA
A corporate and securities lawyer whose marketing department has never once been told no.
Offerings and private placements. Broker-dealer and investment adviser regulation. SEC, state and FINRA investigations. Corporate transactions. Arbitration and litigation. Working in securities since 1995 — roughly the last time this design was fashionable.
Brett G. Evans
Attorney · Evans Law, PC
Once by the advertising department. Once by the lawyer. The second version is the one you can rely on.
What that actually means
Most matters here sit where a business decision meets a securities rule — an offering, a registration, an examination, a customer complaint. The complication is usually structural rather than personal, and it responds well to being taken apart in order.
What that actually means
Offering memoranda, subscription agreements, operating agreements and selling agreements are where the economics and the risk actually live. Reading them closely, and drafting them so they survive being read closely later, is a large part of the work.
What that actually means
No lawyer can promise a regulatory or litigation result, and any website that suggests otherwise should worry you. What counsel can do is identify the rule that applies, the record that matters, and the options still available to you.
Brett G. Evans practices securities, corporate, mergers and acquisitions, energy and tax law. His securities career began in 1995 — in operations and compliance at an independent broker-dealer in Orange County, which is a deeply unglamorous place to start and an extremely useful one.
Before founding the firm, he formed and served as chief executive officer and chief compliance officer of a FINRA member firm focused on investment banking and bringing investments to the independent broker-dealer channel. Before that he was general counsel and chief operating officer of Texas Energy Holdings, Inc., an Inc. 500 oil and gas company, and securities counsel and vice president of private programs at Grubb & Ellis Realty Investors.
Which is a long way of saying: he has sat on the other side of the desk. He has been the client, the compliance officer, the person who has to sign the thing, and the person the regulator writes to. That tends to change what advice sounds like.
Education
LL.M. in Taxation, University of Washington School of Law (2005). J.D. and M.B.A., University of Utah (2004). B.A., History and Political Science, University of California, Berkeley (1999).
Law review
Note and Comment Editor, Utah Law Review.
Admitted to practice
State Bar of California. U.S. District Courts for the Northern, Central and Southern Districts of California. U.S. Court of Appeals for the Ninth Circuit.
Former registrations
Previously registered with FINRA holding Series 7, 24 and 63 licenses.
Professional
SIFMA Compliance and Legal Division. Real Estate Investment Securities Association. The National Due Diligence Alliance.
The firm
Evans Law, PC — a corporate and securities firm serving the financial services industry, from the boardroom to the courtroom.
Every fact above is drawn from the firm’s conventional website. Read the full biography at Evans Law, PC.
1995
Securities career began
$1.7B+
Private placement and joint venture transactions structured or drafted
$130M+
Acquisitions and dispositions
5
Bar and court admissions
People arrive here from very different directions. Pick the one that sounds most like your week.
State and federal securities offerings, private placements, venture financings and the disclosure that has to hold up afterward.
02Private placements and alternative investments — energy, real estate, debt — where structure, economics and disclosure all argue with each other.
03Broker-dealer formation and registration, Rule 1017 applications, supervisory procedures, exams, complaints and branch reviews.
04Formation and registration, compliance programs, marketing review, exam assistance and Advisers Act questions that do not have tidy answers.
05SEC, state and FINRA investigations and enforcement, including Rule 8210 requests and the moment before anyone has decided anything.
06Entity formation, governance, joint ventures, mergers and acquisitions, and energy and oil and gas transactions.
07FINRA, AAA and JAMS arbitration, state and federal trial and appellate litigation, and administrative proceedings.
08Expert witness support and testimony on industry practice, suitability, supervision, due diligence and disclosure.
A fictional advertising department has been busy. None of this ran anywhere. All of it is invented for this website, which is the only place it belongs.
Before any lawyer can hear the confidential version of your problem, they have to make sure representing you would not conflict with someone they already represent. It is quick. It is also why the contact form asks you to keep the first message general.
Read the FAQ →Some things need an engagement letter and a file. Some things need twenty minutes and a straight answer about whether you have a problem at all. It is worth finding out which one you have before you spend money on the other.
Start the conversation →California’s rules on lawyer advertising prohibit false or misleading communications, including guarantees about results. That constraint is real, and honestly it is a good one. Anyone promising you a result is selling something else.
Attorney advertising notice →Tell us what happened. Keep it general for now — no confidential details until a conflicts check is done and an engagement is confirmed in writing. Short version first. If it takes 287 pages, we respect the commitment, but start with the short version.
Send the short versionSubmitting the form does not create an attorney-client relationship.
Footnotes