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Practice Areas

Focuses on broker-dealer and investment manager regulation and enforcement defense and regulation of the capital markets. Counsels clients on regulatory and transactional matters, including development of innovative products and services; regulation and operation of separately managed account (or wrap fee) programs and hedge funds; trading issues affecting both broker-dealers and investment advisers; soft dollar arrangements; SEC, FINRA and state investigations, and enforcement actions; mergers and acquisitions and joint ventures involving broker-dealers and investment advisers; interpretive and "no-action" letter requests; and insider trading issues.

Career

Leader, Financial Institutions Practice