Morgan Lewis

Related Publications

01/07/10 Social Networking in the Securities Context, presented as an ALI-ABA Webinar
10/19/09 Looking Forward to 2010: Hot SEC Topics for Advisers, presented at the TD Ameritrade Institutional 2009 Fall Regional Conference, New York
(pdf)
10/07/09 Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What Has Changed?, presented at the NSCP National Membership Meeting, Workshop Session X(c)IA, Philadelphia
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Related Events

04/19/10 National Organization of Investment Professionals' Spring Conference 2010 Washington, D.C.
Steven Stone, moderator
04/22/10-04/23/10 SIFMA Private Client Conference 2010 New York
Steve Stone, panelist, "Preparing for Regulatory Change"
05/07/10 42nd Annual Rocky Mountain Securities Conference Denver, CO
Steven Stone, panelist, "Mutual Funds, Broker Dealers and Investment Advisers: Risks and Approaches to a Changing Market Place"
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Related News

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 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 (2005–2010)

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. He is also a member of the firm's Advisory Board. 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.