FacultyFaculty/Author Profile
Steven W. Stone

Steven W. Stone

Morgan, Lewis & Bockius LLP

Washington, DC, USA


Steven W. Stone is a securities lawyer 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 US Securities and Exchange Commission (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 the Securities Industry and Financial Markets Association’s (SIFMA) private client committee and represents most of the best-known US broker-dealers in this area. 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. Steve also counsels various institutional investment advisers and banks on investment management issues, including conflicts, trading, disclosure, advertising, distribution, and other ongoing regulatory compliance matters.

Steve’s practice includes counseling clients on varied regulatory and transactional matters. Additionally, he counsels clients on mergers, acquisitions, and joint ventures involving broker-dealers and investment advisers.

Steven W. Stone is associated with the following items:
Live Seminar  Live Seminar Investment Management Institute 2019, Thursday, March 21, 2019, New York, NY
Live Webcast  Live Webcast Investment Management Institute 2019, Thursday, March 21, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Investment Management Institute 2019, Thursday, March 21, 2019, Cleveland, OH
Investment Management Institute 2019, Thursday, March 21, 2019, New Brunswick , NJ
Investment Management Institute 2019, Thursday, March 21, 2019, Cincinnati, OH
Investment Management Institute 2019, Thursday, March 21, 2019, Philadelphia, PA
Investment Management Institute 2019, Thursday, March 21, 2019, Mechanicsburg, PA
Investment Management Institute 2019, Thursday, March 21, 2019, Pittsburgh, PA
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