FacultyFaculty/Author Profile
Stephen P. Wink

Stephen P. Wink

Latham & Watkins LLP

New York, NY, USA


Stephen Wink is a partner in Latham's New York office and is a member of the firm's Capital Markets Practice and Financial Institutions Group. His practice focuses on advising a wide range of market players including investment banks, hedge funds, private equity firms, proprietary trading firms and other financial institutions.

Profile

  • Regulation of broker-dealers and investment advisors 
  • Market regulation 
  • Compliance and enforcement matters 
  • Laws and rules under the Securities Exchange Act of 1934
  • Rules of the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations

Experience

Mr. Wink has in-depth knowledge and broad experience advising financial institutions on regulatory and related matters, gained in part from a decade as general counsel of a full-service investment bank.

Mr. Wink provides regular commentary on regulatory initiatives and rule-making proposals on behalf of clients and trade associations. He has frequently obtained no-action relief and interpretive guidance on behalf of clients from various regulatory bodies, including the Securities and Exchange Commission and FINRA.

Mr. Wink has served as a member of various securities industry committees, including the Securities Industry and Financial Markets Association’s Federal Regulation Committee, the New York Stock Exchange's Compliance Advisory Committee and was Chair of the Bond Market Association's Municipal Legal Advisory Committee.

Mr. Wink is a regular speaker at securities industry conferences, and a frequent contributor to bar journals and scholarly publications.

Mr. Wink served as a law clerk for Judge George E. MacKinnon of the US Court of Appeals for the DC Circuit from 1991 to 1992.

Education

JD, University of Notre Dame Law School, 1991, magna cum laude; Editor-in-Chief: Notre Dame Law Review

BS, State University of New York, Empire State College, 1983

Bar Qualifications

New York

Recognition Highlights

Recognized as one of the country’s leading financial services broker dealer regulation lawyers. “According to one impressed client, ‘he just has very deep and extensive knowledge; he immediately understands the relevant issues and provides timely advice.’” Chambers USA 2015

Recommended for Financial Services Regulatory and Alternative / Hedge Funds, and noted by clients as "excellent." The Legal 500 2014

The "talented and skilled" Stephen Wink "is a trusted adviser: he's patient, calm and always available, and his advice is well received," report interviewees. Chambers USA 2013

Stephen Wink has worked in the broker-dealer industry for many years, both in private practice and as in-house counsel, and his arrival is hailed as "a significant hire for the firm." According to sources, he "knows how clients think and he deals with problems not in a narrow sense but in the larger business context.” Chambers USA 2012

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