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885 Third Avenue...

Licensed & Certified to Practice In

verified_user LICENSED FOR: 5 Years
check_circle MEMBER SINCE: September 2016

About Stephen

STEPHEN P. WINK is a partner in the New York office of Latham & Watkins. Mr. Wink is a member of the firm's Financial Regulatory Practice. His practice focuses on advising a wide range of market players including investment banks, hedge funds, private equity firms, exchanges, alternative trading platforms, transfer agents and other financial institutions on matters involving the regulation of broker-dealers and investment advisors, market regulation, and compliance and enforcement matters. 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 is recognized by Chambers USA as one of the country's leading financial services broker dealer regulation lawyers. He is also recommended byThe Legal 500 for Financial Services Regulatory and Alternative / Hedge Funds, and noted by clients as "excellent." 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 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 Cleary, Gottlieb, Steen & Hamilton after serving as a law clerk to Judge George E. MacKinnon of the US Court of Appeals for the D.C. Circuit.

work Experience

Henniker Holding Corp
Jan. 1, 1985 - Jan. 1, 1988

Law Clerk
U.S. Court of Appeals for the DC Circuit
Jan. 1, 1991 - Jan. 1, 1992

Cleary Gottlieb Steen & Hamilton
Jan. 1, 1992 - Jan. 1, 1996

General Counsel, Executive Managing Director
First Albany Companies Inc.
Jan. 1, 1996 - Jan. 1, 2005

Managing Partner
Cahill/Wink LLP
Jan. 1, 2005 - Current

Latham & Watkins, LLP
Jan. 1, 2011 - Current

school Education

Notre Dame Law School
JD - Juris Doctor
- 1991

bookmark Awards

Magna Cum Laude
Notre Dame Law School
American Jurisprudence Award
American Jurisprudence

group Associations

Bond Market Association - Municipal Securities Committee
1999 - 2000

Editor in Chief
Notre Dame Law Review
1990 - 1991

import_contacts Published Works

Free Speech, Private Offering Regs: Focus on the Purchaser
New York Law Journal
The Unintended Disenfranchisement of Shareholders
Bloomberg Corporate Law Journal
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