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Stephen Mark Klein

Stephen Mark Klein

Practice areas:

Financial Markets and Services

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About Me

Steve has served as a member of Graham & Dunn’s board of directors and as chair of the firm’s Financial Services Team.  He counsels financial institutions about federal and state banking matters and related securities law and financing issues.  Steve utilizes his background and experience as a bank regulator with the Comptroller of the Currency and as an accountant on Wall Street in advising our diverse group of banking clients throughout the Western United States.


Steve assists financial services companies in creatively structuring and successfully implementing mergers and acquisitions and has been involved in well over 100 transactions as counsel for buyers or sellers.  Graham & Dunn has been a leader among law firms in the Western United States in the number of deals in which it served as counsel during the past decade.


 


Steve counsels financial institutions about federal and state banking matters and related securities law and financing issues. He also assists companies in regulatory enforcement and interventions, capital formation including TARP, strategic planning, new bank formations, stock repurchase programs and defensive strategy planning. Further, he guides SEC and state securities registrations for public offerings and acquisitions.


 


Steve has spoken at “Acquire Or Be Acquired,” Bank Director Magazine’s annual national conference on mergers and acquisitions in Arizona every year since 1996.  Steve is also a frequent speaker at numerous bank trade association conferences.

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Practice Areas

Licensed since 1980

  1. Financial Markets and Services: 100%

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Contact Info

Graham & Dunn PC

Pier 70
2801 Alaskan Way Suite 300
Seattle, WA, 98121-1128

Resume

License
StateStatusAcquiredUpdated
WAActive198007/06/2015

Professional Misconduct

We have not found any instances of professional misconduct for this lawyer.
Avvo Contributions
Legal Answers
Awards
Award NameGrantorDate Granted
Super Lawyers, BankingThomson Reuters2014
Best Lawyer, Banking and Finance LawBest Lawyers in America2014
Best Lawyer, Banking and Finance LawBest Lawyers in America2013
Best Lawyer, Banking and Finance LawBest Lawyers in America2012
Best Lawyer, Banking and Finance LawBest Lawyers in America2011
Best Lawyer, Banking and Finance LawBest Lawyers in America2010
Best Lawyer, Banking and Finance LawBest Lawyers in America2009
Best Lawyer, Banking and Finance LawBest Lawyers in America2008
Who's Who In AmericaN/A2007
Best Lawyer’s in America: Banking LawCorporate Counsel Magazine2006
The Best Lawyers in America, Financial Institutions Law SectionBest Lawyers2006
Best Lawyers in America, Banking LawN/A2003
Peer Review Rated AV PreeminentMartindale-HubbellN/A

Education
School NameMajorDegreeGraduated
Georgetown University Law CenterLawJD - Juris Doctor1973
New York UniversityAccountingBS - Bachelor of Science1969
New York UniversityBusinessBS - Bachelor of Science1969

Speaking Engagements
Conference NameTitleDate
WIB ConferenceM&A Simulation2014
Acquire or Be Acquired Annual ConferenceBank Merger & Acquisition Simulation2014
Acquire or Be Acquired Annual ConferenceBank Merger & Acquisition Simulation2013
Acquire or Be Acquired Annual ConferenceBank Merger & Acquisition Simulation2012
Acquire or Be Acquired Annual ConferenceBank Merger & Acquisition Simulation2011
Acquire or Be Acquired Annual ConferencePoint/Counterpoint on Merits of Recent Mergers & Acquisitions, Growth, and General Banking Trends2007
Western Independent Bankers CFO and Risk Management ConferenceTo Sox or Not to Sox: Directors’ Responsibilities Under Section 404 of Sox2006
California Independent Bankers Annual ConventionWhat to do With an Unsolicited Takeover Proposal2006
Arizona Bankers Association Annual MeetingBank Merger & Acquisition Simulation2006