practice areas
- Investment Management
- Securities Industry
- Broker-Dealers
- Compliance & Investment Management
- Registered Investment Companies
- Wrap Fee Sponsors
- Investment Advisers
- Broker-Dealer & Capital Markets Regulation
- Private Investment Funds
- Exchange Traded Funds
- Privacy
- Washington Government Relations & Public Policy
- Financial Services
practice accolades
Ranked, Band 1: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2011)
Ranked, Band 1: Investment Funds: Registered Funds in Chambers USA (2011)
Ranked, Band 1: Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2011)
Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2010)
Ranked, National Tier 1: Private Funds/Hedge Funds Law, U.S. News and Best Lawyers (2010)
honors + affiliations
Listed, Chambers USA: America's Leading Lawyers for Business (2005–2011)
Listed, Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009–2011)
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
- 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 a former 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.