Steven W Stone

Ranked in 1 Practice Areas

Band 1

Financial Services Regulation: Broker Dealer (Compliance)

USA - Nationwide

18 Years Ranked

About

Provided by Steven W Stone

USA

Practice Areas

Steven Stone is a partner in the investment management practice at Morgan Lewis and leader of the financial institutions practice as well as leader of the firm’s investment funds industry initiative. He counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. Steve counsels most of the largest and most prominent US broker-dealers, investment banks, investment advisers, and mutual fund organizations. He regularly represents clients before the US Securities and Exchange Commission, both in seeking regulatory relief and assisting clients in enforcement or examination matters. For more information, please view his bio at https://www.morganlewis.com/bios/sstone.

Personal

Bates College, 1983, B.A.; The George Washington University Law School, 1988, J.D.

Chambers Review

Provided by Chambers

USA

Financial Services Regulation: Broker Dealer (Compliance) - USA - Nationwide

Band 1

Individual Editorial

Steven Stone is a respected figure in the broker-dealer space, noted for his expertise in securities and derivatives law. He regularly assists clients in obtaining regulatory relief from a range of authorities, including the SEC, SIFMA and FINRA.

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Strengths

Provided by Chambers

"Steve Stone is fantastic."

Financial Services Regulation: Broker Dealer (Compliance) respondent
USA

"Steve Stone is fantastic."

Financial Services Regulation: Broker Dealer (Compliance) respondent
USA

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California

Antitrust

Brian C Rocca

Band 3

Steven W Stone

USA Guide 2024

Band 1 : Financial Services Regulation: Broker Dealer (Compliance)