Stephen A. Bornstein

Stephen A. Bornstein

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Rating: 9.4

Licensed for 44 years

Financial markets and services Lawyer at New York, NY
Practice Areas: Financial Markets and Services, Securities Offerings, Contracts & Agreements ... +2 more

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

About Stephen

Biography

Fees and Rates

Cost

Hourly Rates

$ 500-500 per hour


Payment Methods

  • Cash
  • Check

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Licenses

Licensed in New York for 44 years

State: New York

Acquired: 1981

Currently Registered

No misconduct found

Location

Law Office of Stephen A. Bornstein

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

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Stephen A. Bornstein's Reviews

Avvo Review Score

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Stephen A. Bornstein's Lawyer Endorsements

Endorse Stephen
Michael Charles Rakower headshot
Michael Rakower

Financial markets and services lawyer | 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."

William Morris Funk headshot
William Funk

Financial markets and services lawyer | 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."

Bob E. Lehman headshot
Bob Lehman

Financial markets and services lawyer | 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."

Cara Ann Baugh headshot
Cara Baugh

Financial markets and services lawyer | 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."

Stephan Skoufalos headshot
Stephan Skoufalos

Financial markets and services lawyer | 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."

Santiago Jorge Muinos headshot
Santiago Muinos

Unknown lawyer | 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."

Grisel Morales headshot
Grisel Morales

Tax lawyer | 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."

Nicholas Frank Rinaldo headshot
Nicholas Rinaldo

Unknown lawyer | 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."

View All Endorsements
Michael Charles Rakower headshot
Michael Rakower

Contracts and agreements lawyer

William Morris Funk headshot
William Funk

Tax lawyer

Bob E. Lehman headshot
Bob Lehman

Securities offerings lawyer

Stephan Skoufalos headshot
Stephan Skoufalos

Admiralty and maritime lawyer

Nicholas Frank Rinaldo headshot
Nicholas Rinaldo

Personal injury lawyer

Experience

Rating:  9.4 (Superb)

Honors

2013

Super Lawyer, New York Super Lawyers

1980

Moot Court semi-finalist, University of Virginia School of Law

1964

Institute Judicial Committee, MIT

1963

Dean's List, MIT

1961

Modern Prize, Boston Latin School

Work Experience

2006 - 2009

Senior Vice President, D. E. Shaw & Co., L.P.

1984 - 2006

General Counsel & Executive Vice President, Bear Stearns Asset Management Inc.

1980 - 1984

Associate, Willkie Farr & Gallagher

Associations

2011 - Present

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

1981 - Present

New York State Bar Association

Member

1981 - Present

American Bar Association

Member

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.

See More Legal Cases

Education

1980

University of Virginia School of Law

JD - Juris Doctor

1965

Massachusetts Institute of Technology

BS - Bachelor of Science

1961

Boston Latin School

Speaking Engagements

2013

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

2002

Inquiry into Hedge Funds

Hedge Fund Management

1995

Investment Management Industry Conference

ERISA Concerns of Hedge Funds

1986

Securities Litigation

Prospectus Disclosure:Too Little Information or Too Much

1986

Practice Law Institute Conference on Securities Litigation

Disclosure Risks in Securities Underwritings

Publications

2014

Accredited Investor Markets Watch Out for Investment Scams

2013

2011

2011

1986

Practicing Law Institute (PLI) Prospectus Disclosure:Too Little Information or Too Much

Languages

English

Activity

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