Morgan Lewis

Related Publications

12/10/14 FINRA and MSRB Seek Disclosure of Fixed-Income Price Differentials
The respective proposals would require disclosure of price differentials in certain same-day fixed-income transactions that involve retail customers and go beyond existing price differential disclosure requirements in equity transactions.
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Related Events

03/05/15-03/06/15 IAA Investment Adviser Compliance Conference Arlington, VA
Steven W. Stone, panelist
03/15/15-03/18/15 Compliance and Legal Society Annual Seminar 2015 Phoenix, AZ
Steven W. Stone, panelist
View all events

Related News

08/08/11 Advisers' Little Secret: Their Past Results, The Wall Street Journal
Investment Management partner Steve Stone discusses how published performances are rare among advisers who work with individual investors.
01/01/10 Law360 Names Morgan Lewis as a Top Securities Defense Firm for 2009
Law360 selected Morgan Lewis as one of five top securities defense firms of the year, citing the firm's capacity for combining counseling and transactional securities law with dispute litigation and enforcement.
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Photo of  Steven W. Stone

practice accolades

Investment Management

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2013)

Ranked: Investment Fund Formation and Management: Mutual/Registered Funds in The U.S. Legal 500 (2013)

Ranked: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2013)

Ranked: Investment Funds: Registered Funds in Chambers USA (2013)

Private Investment Funds

Ranked "#1 Most Active Law Firm" globally, based on the number of private equity funds worked on for limited and general partners, by Dow Jones Private Equity Analyst (2013) 

Ranked, National Tier 1: Private Funds/Hedge Funds Law, U.S. News and Best Lawyers (2013)

honors + affiliations

Listed, Chambers USA: America's Leading Lawyers for Business (2005–2014)

Listed, Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009–2014)

Listed, "Guide to the World's Leading Investment Funds Lawyers," International Financial Law Review/Expert Guides (2008)

Listed, Washington, D.C. Super Lawyers (2008)

Member, American Bar Association, Business Law Section

Editorial Board Member, Practical Compliance & Risk Management

Advisory Board Member, Wall Street Lawyer & Journal of Performance Measurement

Former Managing Editor, The George Washington Law Review

Former Associate Editor, Consumer Protection Reporting Service

bar admissions

  • District of Columbia
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Steven W. Stone
Partner


Email: sstone@morganlewis.com
Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
United States
Phone: +1.202.739.5453
Fax: +1.202.739.3001

Steven W. Stone is the leader of Morgan Lewis's Investment Management Practice Group. He is a member of the firm's Advisory Board and has also served as the Managing Partner of the firm's Washington, D.C. office. Mr. Stone’s practice focuses on broker-dealer and investment manager regulation and enforcement defense and regulation of the capital markets. Mr. Stone has a broad background in broker-dealer and investment management regulation, representing major investment banks, broker-dealers and investment managers in a wide range of matters.

Mr. Stone counsels clients on a wide variety of 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; insider trading issues; and related matters.

Mr. Stone is listed in The US Legal 500 and Chambers USA: America's Leading Lawyers for Business. Mr. Stone has been named by Chambers as one of the leading U.S. lawyers for investment management and broker-dealer law and was recognized as "one of the best in the field."

Mr. Stone is admitted to practice in the District of Columbia.

education

  • George Washington University National Law Center, 1988, J.D.
  • Bates College, 1983, B.A.