Steven W. Stone

Partner

Steven W. Stone is a securities lawyer who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. His clients include most of the largest and most prominent US broker-dealers, investment banks, investment advisers, and mutual fund organizations. He advises them on trading, disclosure, advertising, distribution, and other ongoing regulatory compliance matters. 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.

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