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Stephen A. Bornstein

Financial markets and services Attorney at New York, NY

Not yet reviewed
  • Licensed for 43 years
    State NY
    Acquired 1981
    Status
    Currently Registered No misconduct found

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

About Stephen

Learn Stephen’s areas of practice.

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.

Location

Law Office of Stephen A. Bornstein
375 Park Ave.
Suite 2607, The Seagram Building
New York, NY, 10152

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Reviews

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Cost

Rates
  • Hourly Rates $ 500-500 per hour
Payment methods
Cash, Check

Resume

AVVO RATING 9.4 (Superb)

Work Experience

  • Senior Vice President
  • D. E. Shaw & Co., L.P.
  • 2006 - 2009
  • General Counsel & Executive Vice President
  • Bear Stearns Asset Management Inc.
  • 1984 - 2006
  • Associate
  • Willkie Farr & Gallagher
  • 1980 - 1984

Education

  • University of Virginia School of Law
  • JD - Juris Doctor
  • 1980
  • Massachusetts Institute of Technology
  • BS - Bachelor of Science
  • 1965
  • Boston Latin School
  • 1961

Sample of Legal Cases

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

Associations

  • New York Hedge Fund Roundtable
  • Member
  • 2011 - Present
  • Hedge Fund General Counsel Summit
  • Member
  • 2011 - Present
  • Connecticut Hedge Fund Association
  • Member
  • 2011 - Present
  • Family Offices Group
  • Member
  • 2011 - Present
  • Fund of Funds Network
  • Member
  • 2011 - Present
  • Regulatory Compliance Association
  • Member
  • 2011 - Present
  • New York City Bar Association
  • Member
  • 2011 - Present
  • New York State Bar Association
  • Member
  • 1981 - Present
  • American Bar Association
  • Member
  • 1981 - Present
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Languages Spoken

  • English

Honors and Awards

  • Super Lawyer
  • New York Super Lawyers
  • 2013
  • Moot Court semi-finalist
  • University of Virginia School of Law
  • 1980
  • Institute Judicial Committee
  • MIT
  • 1964
  • Dean's List
  • MIT
  • 1963
  • Modern Prize
  • Boston Latin School
  • 1961
View all awards

Publications

  • Practicing Law Institute (PLI)
  • Prospectus Disclosure:Too Little Information or Too Much
  • 1986
View all publications

Speaking Engagements

  • Seminar Sponsored by Infovest21
  • Why the Most Successful Hedge Fund Managers are Setting Up Single Family Offices
  • 2013
  • Ivy Family Office Network Investor Conferences
  • Non-Correlated Investments
  • 2013
  • Inquiry into Hedge Funds
  • Hedge Fund Management
  • 2002
  • Investment Management Industry Conference
  • ERISA Concerns of Hedge Funds
  • 1995
  • Securities Litigation
  • Prospectus Disclosure:Too Little Information or Too Much
  • 1986
  • Practice Law Institute Conference on Securities Litigation
  • Disclosure Risks in Securities Underwritings
  • 1986
View all speaking engagements

Attorney endorsements

Received (8)
Given (7)
Endorse Stephen
Financial markets and services Attorney | Nov 21
Relationship: Fellow lawyer in community
"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."
Financial markets and services Attorney | Nov 22
Relationship: Fellow lawyer in community
"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."
Financial markets and services Attorney | Oct 31
Relationship: Opposing Counsel on matter
"Throughout the course of my 27 years of practice, Steve has repeatedly proven himself to me to be a very knowledgeable, helpful and accessible resource in the complex field of hedge fund and investment advisory regulation and management. Professorial, thorough and conscientious, Steve consistently has applied his impressive analytical and communication skills to great effect and has served his clients well. I highly endorse Stephen."
Financial markets and services Attorney | Sep 15
Relationship: Co-worker
"Stephen Bornstein and I worked together at Bear Stearns in the 1980's when Bear's legal department consisted of only a handful of lawyers. Each of us had to cover several different businesses and investment products and, even in this group, Stephen was widely regarded as a sounding board for the other lawyers. Stephen spent 22 years as general counsel of Bear's asset management division, and then went on to serve as senior counsel to D. E. Shaw's institutional asset management business. Last year, Stephen opened his own solo practice providing general counsel services to asset managers on an outsourced basis. Any hedge fund manager or investment adviser I know would do well to take advantage of Stephen's substantial in-house experience, and I endorse him heartily."
Financial markets and services Attorney | Sep 09
Relationship: Fellow lawyer in community
"I endorse this lawyer. Stephen has unparalled expertise and experience in the investment advisory area which he is now bringing to his cutting edge boutique law practice."
Unknown Attorney | Aug 03
Relationship: Fellow lawyer in community
"My law partner and I recently had the pleasure of meeting Stephen and we both came away impressed at his approachability, openness and willingness to share his knowledge and expertise with us. Stephen is a "counselor" in the truest sense of the word, as he has the ability to leverage his impressive experience and meticulous preparation in a complicated, ultra-regulated area of the law, and then explain it in clear, no-nonsense terms that non-practitioners can understand and then act upon. This is an amazing ability for an attorney to have as it creates so much value for his clients by taking out a lot of the guesswork from a rather complicated field rife with traps for the unwary. In short, a great attorney and even better person who gets a very enthusiastic recommendation from me."
Tax Attorney | Aug 03
Relationship: Fellow lawyer in community
"I wholly endorse this lawyer. Stephen has a unique law practice that provides asset managers with unparalleled personalized service to allow them the peace of mind that they are in full compliance with the complex regulations governing their investment operations. Whether he represents a client directly or helps a client select outside counsel whose legal services he will oversee, he is always responsive and attentive to his client's needs. I would not hesitate to refer a client to Stephen."
Unknown Attorney | Aug 03
Relationship: Other
"I highly endorse Stephen Bornstein. At a recent seminar I attended, Stephen educated all of the participants as to the management and regulation of hedge funds and other investment advisers. He is unquestionably the attorney I would call on if I were running such an operation and had any kind of legal concerns. There is just no substitute for the wealth of knowledge and experience he brings to his clients."
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New York Financial markets and services Lawyer Stephen A. Bornstein
Stephen A. Bornstein
Financial markets and services Attorney
New York, NY
Licensed for 43 years