FacultyFaculty/Author Profile
Steven W. Stone

Steven W. Stone

Morgan, Lewis & Bockius LLP

Washington, DC, USA


Steven W. Stone is a securities lawyer and partner at Morgan Lewis who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. Head of the firm’s financial institutions practice, 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 SEC, both in seeking regulatory relief and assisting clients in enforcement or examination matters.

Steve advises major US broker-dealers in the private wealth and private client businesses that offer investment advice and brokerage services to high-net-worth clients as well as broker-dealers serving self-directing clients. He also works as counsel on various matters to SIFMA’s private client committee. He also advises broker-dealers and investment advisers in the managed account or wrap fee area, and serves as counsel to the Money Management Institute, the principal trade association focused on managed accounts.

Since 2005, Chambers USA has recognized Steve as one of the leading US lawyers for investment management and broker-dealer law, calling him as “one of the best in the field.”  Steve received his B.A. from Bates College and his J.D. from The George Washington University Law School.

Steven W. Stone is associated with the following items:
Web Segment  Web Segment Brokerage and Trading Practices; Investment Adviser Compliance Programs - Fundamentals of Investment Adviser Regulation 2017, Wednesday, June 28, 2017
MP3 Audio  MP3 Audio Brokerage and Trading Practices; Investment Adviser Compliance Programs - Brokerage and Trading Practices; Investment Adviser Compliance Programs, Wednesday, June 28, 2017
Transcripts  Transcripts Brokerage and Trading Practices; Investment Adviser Compliance Programs - Brokerage and Trading Practices; Investment Adviser Compliance Programs, Wednesday, June 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Brokerage and Trading Practices; Investment Adviser Compliance Programs - Brokerage and Trading Practices; Investment Adviser Compliance Programs, Wednesday, June 28, 2017
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Investment Adviser Regulation 2017, Thursday, June 29, 2017, New York, NY
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.