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Overview

Stephen Cohen focuses his practice on broker-dealer regulation and the securities markets for major international banks, domestic and foreign investment banks, full-service and boutique brokerage firms, clearing firms, transfer agents, and private funds.

He takes a strategic and practical approach to a wide variety of regulatory and transactional matters, including federal and state registration and compliance issues as well as SRO membership and compliance issues, including FINRA, the stock exchanges and the clearing corporations.

Stephen acts as a close business partner for his foreign high-net-worth clients, advising them on matters that span a wide variety of industries, including securities, real estate, technology and cryptocurrencies. He is passionate about working closely with clients on cutting-edge solutions that have a transformative impact within their businesses and broader industries.

He has served as regulatory counsel in more than 100 private and public transactions valued at more than $100 billion in aggregate. Recently, Stephen has been increasingly active in advising family office clients on regulatory matters, and in providing counsel to offshore funds in connection with commodities and advisory issues.

Stephen is an enthusiastic advocate and mentor for his junior colleagues and enjoys working with attorneys and professionals at all levels to help further their careers. In his spare time, he loves learning about other cultures through travel, food and spirituality.

  • Breaking Barriers - FinTech Buildathon by MIT Sloan
    Speaker
  • 2015 NSCP National Conference, "Regulatory Examinations (Large Firms)"
    Speaker
  • Speaker
    Seminars
  • Outsourcing & Regulatory Compliance: A Match Made in Heaven?, 7th Annual Asset Management Industry Transformation & Outsourcing Strategies Forum
    Speaker
  • Speaker
    Seminars
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Education

  • New York University School of Law, J.D.
  • Columbia University, B.A., magna cum laude

Bar Admissions

  • New York

Recognition

  • Named "Member of the Year" in Madison's Who's Who Among Executives and Professionals (2008)

Affiliations

  • Member, Association of Registration Management
  • Member, Legal and Compliance Division of Securities Industry and Financial Markets Association
  • Member, Financial Women’s Association
  • Member, American Bar Association