“He's very knowledgeable, creative and thorough - a top broker-dealer lawyer."Chambers USA 2019

Stephen P. Wink

New York
  • 885 Third Avenue
  • New York, NY 10022-4834
  • USA
 
 

Stephen Wink is a partner in the New York office of Latham & Watkins and a member of the firm’s Financial Regulatory Practice. He advises a wide range of market players including investment banks, hedge funds, private equity firms, FinTech companies, exchanges, alternative trading platforms, transfer agents, and other financial institutions on matters involving the regulation of markets and broker-dealers, as well as related compliance and enforcement matters.

Mr. Wink is a key member of Latham’s FinTech Industry Group, and is Co-Chair of the firm’s Global Blockchain & Cryptocurrency Task Force. Mr. Wink is ranked in Band 1 by Chambers’ Professional Advisers FinTech, and is recognized by Chambers USA as one of the country’s leading financial services broker-dealer regulation lawyers. He is also recommended by The Legal 500 for Financial Services Regulation and Alternative / Hedge Funds, where he was noted by clients as “excellent.” Mr. Wink has in-depth knowledge and broad experience advising on the overlapping patchwork of regulations covering the financial markets, including the laws and rules under the Securities Exchange Act of 1934 and the rules of the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations.

Mr. Wink provides regular commentary on regulatory initiatives and rule-making proposals on behalf of clients and trade associations. He has frequently obtained no-action relief and interpretive guidance on behalf of clients from various regulatory bodies, including the Securities and Exchange Commission and FINRA.

Mr. Wink is the Vice Chair of the ABA’s subcommittee on Trading and Markets and is a former member of various securities industry committees, including the Securities Industry and Financial Markets Association’s Federal Regulation Committee, the New York Stock Exchange’s Compliance Advisory Committee, and was Chair of the Bond Market Association’s Municipal Legal Advisory Committee. Mr. Wink is a regular speaker at securities industry conferences.

Mr. Wink spent nine years in-house as executive managing director and general counsel of First Albany Companies Inc., a full-service investment bank, merchant bank, and investment advisor. He began his career at another leading law firm after serving as a law clerk to Judge George E. MacKinnon of the US Court of Appeals for the D.C. Circuit.

Publications

 
 
 
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