FacultyFaculty/Author Profile

Mark J. Stein

Simpson Thacher & Bartlett LLP

New York, NY, USA


MARK J. STEIN is a Partner at Simpson Thacher & Bartlett LLP in the Firm's Litigation Department.  Over the past decade, Mr. Stein has represented financial institutions, Boards, audit committees, and individual officers in virtually all of the industry-wide criminal and regulatory financial investigations, including those involving: market timing, IPO allocations, research analyst conflicts, insurance brokerage arrangements, tax shelters, and options back-dating.  Mr. Stein also had significant representations in the investigations involving Adelphia, Martha Stewart Living Omnimedia, Enron, Lloyds, and AIG. In addition, Mr. Stein has extensive experience in investigations involving allegations of money laundering, insider trading, price-fixing, commercial bribery, and tax evasion.   
  
Mr. Stein has represented companies and individuals involved in investigations conducted by the United States Department of Justice, U.S. Attorney's Offices around the country, the United States Securities and Exchange Commission, the New York State Attorney General's Office, and other federal, state and self-regulatory bodies.  He has also conducted numerous internal investigations for companies confronting potential misconduct by its officers and employees. He has reviewed the compliance programs and policies of many companies and made recommendations for improvement.  As a member of the Criminal Justice Act panel, Mr. Stein has extensive trial experience as defense counsel in federal criminal cases and has achieved a high percentage of acquittals over the past few years.  He also handles a broad range of civil litigation, including cases that are parallel to governmental investigations.

From 1989 through 1994, Mr. Stein served as an Assistant United States Attorney in the Southern District of New York, ending his tenure there as Deputy Chief of the Criminal Division.  While at the U.S. Attorney's office, Mr. Stein was involved in the investigation and prosecution of significant white-collar cases, and in trying numerous cases of securities fraud, bank fraud and money laundering. Mr. Stein was lead counsel in seventeen jury trials, obtaining convictions in each of them.

 In 1994, Mr. Stein served as an Assistant in the Office of the Independent Counsel for the Whitewater investigation involving allegations concerning the Madison Guaranty Savings & Loan in Arkansas and members of the Clinton administration.  

Mr. Stein is a fellow of the American College of Trial Lawyers.  He is listed in Chambers USA as a leading practitioner in the area of white collar crime and government investigations.  Mr. Stein is a frequent panel speaker on issues concerning Governmental and internal investigations. 

Mr. Stein is admitted to the bar in New York and to practice before the United States District Courts for the Southern and Eastern Districts of New York and the United States Court of Appeals for the Second Circuit.  He received his JD in 1983 from the University of Michigan Law School, where he was Senior Editor of the Law Review, and his BA in 1980 from the State University of New York at Albany.  From 1983 to 1984, Mr. Stein served as a law clerk for the Hon. Thomas P. Griesa in the Southern District of New York.
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