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Stephen A. Bornstein

Stephen A. Bornstein

Practice areas:

Financial Markets and Services, Securities Offerings, Contracts & Agreements, Federal Regulation, Venture Capital

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About Me

HEDGE FUND ATTORNEY IN NYC: Stephen  provides general counsel services to investment advisers, private investment funds and family offices on a consultative basis.  He advises clients on all aspects of asset management, from entity formation to investor relations.  An experienced in-house attorney, Stephen also assists clients in selecting and managing their full-service outside counsel.  He opened his solo New York law practice in 2010.

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Practice Areas

Licensed since 1981

  1. Securities Offerings: 30%
  2. Financial Markets and Services: 30%
  3. Contracts & Agreements: 20%
  4. Federal Regulation: 15%
  5. Venture Capital: 5%

Payment

Fees:

Hourly ($500/hour)

Payment Types:

Cash, Check

Attorney Endorsements

8 total 

  • Michael Charles Rakower

    Stephen is an experienced lawyer who has worked on Wall Street's legal side for decades. Essentially, he knows what investment companies need to know. He is an excellent resource for information and counseling, and he does it all with a smile.

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    Michael Rakower Litigation Attorney
    Relationship: Fellow lawyer in community

  • No photo

    I know Stephen from participation in the New York City Bar Association. From discussion of issues of mutual interest to our respective clients, I know that Stephen is a leader in his practice area, focusing on providing general counsel services to asset managers and private investment funds. We have subsequently shared our ideas about counseling clients in the investment advisory space and I feel very confident that Stephen provides top-notch legal risk management guidance to those who seek his advice. I am happy to endorse him.

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    William Funk Tax Attorney
    Relationship: Fellow lawyer in community

Contact Info

Law Office of Stephen A. Bornstein

375 Park Ave.
Suite 2607, The Seagram Building
New York, NY, 10152

Resume

License

StateStatusAcquiredUpdated
NYCurrently registered 198103/13/2015

Professional Misconduct

We have not found any instances of professional misconduct for this lawyer.

Avvo Contributions

Legal Answers

Awards

Award NameGrantorDate Granted
Super LawyerNew York Super Lawyers2013
Moot Court semi-finalistUniversity of Virginia School of Law1980
Institute Judicial CommitteeMIT1964
Dean's ListMIT1963
Modern PrizeBoston Latin School1961

Work Experience

TitleCompany NameDuration
Senior Vice PresidentD. E. Shaw & Co., L.P.2006 - 2009
General Counsel & Executive Vice PresidentBear Stearns Asset Management Inc.1984 - 2006
AssociateWillkie Farr & Gallagher1980 - 1984

Associations

Association NamePosition NameDuration
New York Hedge Fund RoundtableMember2011 - Present
Hedge Fund General Counsel SummitMember2011 - Present
Connecticut Hedge Fund AssociationMember2011 - Present
Family Offices GroupMember2011 - Present
Fund of Funds NetworkMember2011 - Present
Regulatory Compliance AssociationMember2011 - Present
New York City Bar AssociationMember2011 - Present
New York State Bar AssociationMember1981 - Present
American Bar AssociationMember1981 - Present

Legal Cases

Case NameOutcome
D. E. Shaw and SAC Capital v. Orient Express HotelsCase was decided in favor of defendant.
Virgin Islands Seaplane Shuttle v. Bear StearnsCase was mediated with a settlement favoring the defendant.

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Publications

Publication NameTitleDate
Accredited Investor MarketsWatch Out for Investment Scams2014
Hedge Fund InsightIntuition and Impulse in a Great Trader2013
BLOGExpert networks2011
BLOGSeed/acceleration capital2011
BLOGWhistleblowing2011
BLOGUCITS distribution fees2011
BLOGSide-by-side investing2011
BLOGPublic pension plans2011
BLOGFriends & family investors2011
BLOGThird-party marketers2011
BLOGHedge fund 'side pockets'2011
BLOGHedge fund redemptions2011
BLOGSuccession planning2011
Practicing Law Institute (PLI)Prospectus Disclosure:Too Little Information or Too Much1986

Education

School NameMajorDegreeGraduated
University of Virginia School of LawSecuritiesJD - Juris Doctor1980
Massachusetts Institute of TechnologyEconomics, Politics & ScienceBS - Bachelor of Science1965
Boston Latin SchoolN/AN/A1961

Speaking Engagements

Conference NameTitleDate
Seminar Sponsored by Infovest21Why the Most Successful Hedge Fund Managers are Setting Up Single Family Offices2013
Ivy Family Office Network Investor ConferencesNon-Correlated Investments2013
Inquiry into Hedge FundsHedge Fund Management2002
Investment Management Industry ConferenceERISA Concerns of Hedge Funds1995
Securities LitigationProspectus Disclosure:Too Little Information or Too Much1986
Practice Law Institute Conference on Securities LitigationDisclosure Risks in Securities Underwritings1986