sgstein@hhlaw.com
PHONE
+1.202.637.8575
FAX
+1.202.637.5910
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Stuart
G.
Stein
Partner,
Washington, D.C.
Stuart Stein heads the firm’s financial services and corporate governance groups. As to financial services, his practice involves primarily representing clients in a variety of corporate and securities matters, including mergers and acquisitions, initial and follow-on public offerings, and other public and private financing transactions. Stuart also advises clients on various legislative and government regulatory matters. He has extensive experience in representing financial services companies in a variety of corporate and regulatory matters before each of the federal and various state banking and savings institution regulatory authorities.
Stuart also advises corporate directors in connection with corporate governance and fiduciary responsibility issues. As coordinator of the firm’s corporate governance practice, he assists boards of directors, directors’ committees, and individual directors as they define and perform their obligations. He advises on director fiduciary duties, general obligations, and liabilities; corporate governance, compliance, and ethics; transactional considerations; and crisis management, special investigations, and events. He also provides clients insight and understanding on how to address the requirements imposed by the Sarbanes-Oxley Act, as well as Securities and Exchange Commission, New York Stock Exchange, and Nasdaq rules and regulations.
Recent Presentations
Speaker, National Association of Corporate Directors (NACD) Capital Area Chapter Meeting, "Activist Hedge Funds in the Board Room: What Public Company Directors Need to Know" (2008).
Speaker, National Cooperative Business Association 2008 Cooperative Conference, “Co-op Governance” (2008).
Speaker, CFC Forum 2008, “Hot Topics in Corporate Governance” (2008).
Speaker, ACB Annual Meeting, "Effective Management of Activist Investors" (2007).
Speaker, New York Bankers Association (NYBA) Annual Convention, "Issues in Compliance Management" (2007).
Speaker, New York Bankers Association (NYBA) Bank Counsel Meeting, "Bank and SEC Regulatory Enforcement" (2007).
Speaker, KPMG Audit Committee Roundtable, "Audit Committee Communications and Coordination with the Board and Other Committees" (2006).
Presenter, New York Bankers Association (NYBA) Annual Convention, "Bank and SEC Regulatory Enforcement Actions" (2006).
Faculty member, ACB National School of Banking at Fairfield University in Connecticut (2006).
Presenter, New York Bankers Association (NYBA) Senior Management Conference, "Preparing for SEC and Other Regulatory Enforcement Actions" (2006).
Speaker, ACB Annual Meeting, "Directors' Duties" (2005).
Speaker, Community Bankers Associations of New York State, "Corporate Governance Issues" (2005).
Faculty member, ACB National School of Banking at Fairfield University in Connecticut (2005).
Speaker, InfoPipeline, "Emerging Issues for Boards of Directors of Financial Institutions" (2005).
Speaker, Directors' Forum on "Creating a Formal Code of Ethics" (2004).
Presenter, American Society of Corporate Secretaries Eastern New England, Fairfield-Westchester, Hartford and New York Chapters Regional Fall Conference (2004).
Speaker, Grocery Manufacturers of America Legal Conference, "Sarbanes-Oxley—Staying Ahead of the Curve, Accounting and SEC Issues and Attorney Conduct and Related Issues" (2004).
Hogan & Hartson Publications
11.20.2008
"Senator Grassley Urges the Justice Department, Treasury Department, and Whistleblowers to Use the False Claims Act to Pursue Fraud by Entities that Apply For or Receive Federal Assistance Under Emergency Economic Stabilization Act." Financial Services Regulations Update, Hogan & Hartson LLP
11.03.2008
"New IRS Guidance Clarifies Tax Treatment of Indirect Ownership of Fannie Mae and Freddie Mac Preferred Stock." Financial Services Regulation Update, Hogan & Hartson LLP
10.28.2008
"FDIC Issues Interim Final Rule Implementing Temporary Liquidity Guarantee Program." Financial Services Regulation Update, Hogan & Hartson LLP
10.17.2008
"New IRS Pronouncements Relax Tax Rules for Financial Institutions Participating in TARP." Financial Services Regulation Update, Hogan & Hartson LLP
10.16.2008
"Treasury Expands Focus from Liquidity to Equity: Establishes Executive Compensation Guidelines." Financial Services Regulation Update, Hogan & Hartson LLP
10.15.2008
"The Fed Responds to Liquidity Crisis: Commercial Paper Funding Facility." Financial Services Regulation Update, Hogan & Hartson LLP
10.15.2008
"Federal Government Initiates Temporary Liquidity Guarantee Program." Financial Services Regulation Update, Hogan & Hartson LLP
10.14.2008
"Treasury Department Using Private Sector Financial Institutions and Other Companies to Manage Troubled Assets Relief Program." Financial Services Regulation Update, Hogan & Hartson LLP
09.26.2008
"Federal Reserve Issues Policy Statement on Equity Investments in Banks and Bank Holding Companies." Financial Services Regulation Update, Hogan & Hartson LLP
09.22.2008
"Federal Government Issues Guaranty of Portfolios of Certain Money Market Funds." Financial Services Regulation Update, Hogan & Hartson LLP
09.22.2008
"U.S. Treasury Department Seeks Broad Authority to Purchase up to $700 Billion of Troubled Assets." Financial Services Regulation Update, Hogan & Hartson LLP
09.08.2008
"Federal Government Takes Control of Fannie Mae and Freddie Mac." Financial Services Regulation Update, Hogan & Hartson LLP
04.17.2008
"Singing the Blues: Concerns About Treasury’s Blueprint for a Modernized Regulatory Structure Likely Premature." Financial Services Regulation Update, Hogan & Hartson LLP
12.12.2007
"Second Circuit Upholds OCC Preemption of NY Attorney General's HMDA Investigation." Financial Services Regulation Update, Hogan & Hartson LLP
08.13.2007
"The Long Arm (and Tight Grip) of Deposit Forfeiture Under the USA Patriot Act." Financial Services Regulation Update, Hogan & Hartson LLP
06.12.2007
"The Tide of Preemption Continues to Rise: Watters v. Wachovia Bank, N.A. and Thereafter." Financial Services Regulations Update, Hogan & Hartson LLP
04.24.2007
"Subprime Lending - The Uncertainties Continue." Financial Services Regulation Update, Hogan & Hartson LLP
03.12.2007
"To Address Conflicts Over Role of ALLL, Federal Banking Agencies Look to Management's Methodology." Financial Services Regulation Update, Hogan & Hartson LLP
Published Works
09.17.2007
"New SEC Guidance and PCAOB Auditing Standard No. 5 Provide Clarity on SOX Section 404." Bloomberg Law Reports-Securities Law
07.01.2007
"To Address Conflicts Over Role of ALLL, Federal Banking Agencies Look to Management's Methodology." Banking & Financial Services Policy Report, Aspen Publishers
03.01.2006
"After the Restatement." Community Banker
11.28.2005
"Looking in the Mirror." Legal Times
11.15.2005
"The Skinny on Directors' Duties." Community Banker
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