Morgan Lewis

Related Publications

06/24/09 Examination Protocols, presented at the SEC's International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C.
June 2009 The Madoff “Opportunity”: Harmonizing the Overarching Standard of Care for Financial Professionals Who Give Investment Advice, Wall Street Lawyer, Vol. 13, Issue 6
(pdf)
05/21/09 An Update on Regulatory Issues, presented at the 7th Annual PMAR Conference, Philadelphia
View all publications

Related Events

07/15/09 Cross-Border Webcast for the Financial Services Sector
Steve Stone, Beth Kiesewetter, Jon Gerty, Afzalah Sarwar, Carsten Horter, and Etienne Drouard, speakers
10/05/09-10/07/09 NSCP 2009 National Membership Meeting Philadelphia
Steven Stone, speaker, "Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What has changed?"
View all events
Photo of Steven W. Stone

Practice Areas

Practice Accolades

Investment Management

Ranked, Tier 1: Financial Services Regulation: Broker Dealer Regulation (National) Practice in Chambers USA (2009)

Ranked, Band 1: Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2009)

Honors + Affiliations

Listed, Chambers USA: America's Leading Lawyers for Business (2005–2009)

Listed, Investment Fund Formation and Management: Alternative/Hedge Funds in The US Legal 500 (2009)

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

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
  • Pennsylvania
Print Profile

Steven W. Stone
Partner

v-card

Email: sstone@morganlewis.com
Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5453
Fax: 202.739.3001

Steven W. Stone is the leader of Morgan Lewis's Investment Management Practice Group. Mr. Stone’s practice focuses on broker-dealer and investment manager regulation and enforcement defense and regulation of the securities 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. He frequently advises trading desks of both broker-dealers and investment managers on a range of issues.

Mr. Stone counsels clients on a wide variety of regulatory and transactional matters, including development of new products and services; federal and state registration and compliance issues; SEC, NASD 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 was named by Chambers as one of the leading U.S. lawyers for investment management law and was recognized as "one of the best in the field."

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

Education

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