Stephen Wink > Latham & Watkins LLP > New York, United States > Lawyer Profile
Latham & Watkins LLP Offices
1271 Avenue of the Americas
NEW YORK
NY 10020
United States
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Stephen Wink
Position
Stephen Wink is a partner in the New York office of Latham & Watkins and a member of the Financial Regulatory Practice. He advises a wide range of market players including fintech companies, investment banks, private funds, exchanges, and trading platforms (traditional and cryptocurrency), and other financial institutions on matters involving the regulation of markets, as well as related compliance and enforcement matters.
Stephen is Co-Chair of Latham’s Fintech Industry Group and Global Digital Assets & Web3 Practice. Stephen 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. Recently, Stephen received the Innovation Award from the New York Law Journal, which recognizes “creative and inspiring approaches and forward-thinking firms and individuals,” and previously he was named a Law360 MVP for Fintech.
Stephen 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, the rules of the Financial Industry Regulatory Authority (FINRA), and other self-regulatory organizations.
Stephen 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.
Stephen is Chair of the ABA’s subcommittee on Trading and Markets. He is a regular speaker at fintech and securities industry conferences.
Stephen 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.
Thought Leadership
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- “SEC Adopts Amendments to Form 13F” Latham & Watkins Article (July 2022)
- “Responsible Financial Innovation Act Offers Clarity, Safeguards for Digital Assets — SEC and Securities” Latham & Watkins Article (June 2022)
- “Decentralized Autonomous Organizations: Piercing the Digital Veil” Latham & Watkins Article (May 2022)
- “SEC Proposes to Expand Interpretation of “Dealer” and “Government Securities Dealer” Definitions” Latham & Watkins Article (April 2022)
- “When Are CCOs on the Hook? FINRA Offers Guidance on CCO Liability” Latham & Watkins Article (March 2022)
- “President Biden Issues Executive Order on Digital Assets” Latham & Watkins Article (March 2022)
- “Expanded Definition of “Exchange” and SEC Regulation of Crypto Platforms” Latham & Watkins Article (March 2022)
- “SEC Proposes to Expand the Definition of an “Exchange”” Latham & Watkins Article (February 2022)
- “2021 Digital Asset Regulatory Lookback (US Edition)” Latham & Watkins Article (January 2022)
- “SEC Proposes Stricter Requirements for the Rule 10b5-1 Affirmative Defense” Latham & Watkins Article (January 2022)
- “US Infrastructure Law: Top Impacts on the Digital Asset Industry” Latham & Watkins Article (November 2021)
- “Crypto-Asset Trading Platforms: Another Regulatory Trip Around the World ” Latham & Watkins Article (November 2021)
Career
Lawyer Rankings
United States > Finance > Financial services regulation
The ‘very strong practice’ at Latham & Watkins LLP
counts a range of global banks, funds and broker-dealers among its clients, whom it assists with major transactions and associated regulatory challenges, in addition to providing regulatory support as it relates to derivatives, broker-dealer registrations and restructuring measures. The team is also accustomed to handling proceedings before regulatory bodies, including FINRA, NFA and the SEC among others. Leading the group is the New York-based triumvirate of Stephen Wink, Yvette Valdez and Arthur Long, who joined the leadership team following the retirement of Alan Avery in January 2023. Marlon Paz, who splits time between New York and Washington DC, is noted for his work advising broker-dealers on all aspects of securities regulation and enforcement, with New York-based Jenny Cieplak focusing on regulatory issues arising out of the fintech sector. Also located in New York, Pia Naib advises banks and other financial services clients on crypto regulations in addition to issues tied to Dodd-Frank, the Volcker Rule and the Consumer Protection Act.
United States > Finance > Fintech
Often working in conjunction with the firm’s privacy & cyber practice on data privacy and security law issues, the New York-based practice Latham & Watkins LLP covers the full array of blockchain, digital asset, and payment technology matters. Co-lead of the practice Stephen Wink specializes in compliance and enforcement and is a key port of call for various digital asset entities, DAOs, and financial institutions. Also-co-lead of the team, Yvette Valdez is experienced in advising global investment banks, asset managers, and trading shops on establishing crypto derivatives and structuring digital assets. Jenny Cieplak offers strong knowledge of the corporate, intellectual property, and regulatory aspects of fintech transactions, while Marlon Paz often assists broker-dealers on internal investigations and securities regulations. In Washington DC, Barrie VanBrackle is well-versed in fintech transactions and consumer financial services compliance, while Los Angeles-based Ghaith Mahmood is proficient in the commercialization of IP assets and is often engaged in NFT matters. Todd Beauchamp left the team in March 2023.
Lawyer Rankings
Top Tier Firm Rankings
- Insurance > Advice to policyholders
- Finance > Capital markets: debt offerings
- Finance > Capital markets: equity offerings
- Finance > Capital markets: global offerings
- Finance > Capital markets: high-yield debt offerings
- Antitrust > Cartel
- International trade and national security > CFIUS
- Antitrust > Civil litigation/class actions: defense
- Finance > Commercial lending
- Intellectual property > Copyright
- Media, technology and telecoms > Cyber law (including data privacy and data protection)
- Labor and employment > Employee benefits, executive compensation and retirement plans: transactional
- Energy > Energy transactions: electric power
- Energy > Energy transactions: oil and gas
- Environment > Environment: litigation
- Environment > Environment: regulatory
- Environment > Environment: transactional
- Finance > Fintech
- Real estate > Land use/zoning
- Environment > Environment: regulatory
- Dispute resolution > Financial services litigation
- Environment > Environment: regulatory
- M&A/corporate and commercial > M&A: large deals ($1bn+)
- M&A/corporate and commercial > M&A: large deals ($1bn+)
- Healthcare > Life sciences
- Dispute resolution > M&A litigation: defense
- M&A/corporate and commercial > M&A: large deals ($1bn+)
- Media, technology and telecoms > Media and entertainment: litigation
- Media, technology and telecoms > Media and entertainment: transactional
- Antitrust > Merger control
- Environment > Environment: regulatory
- Environment > Environment: regulatory
- Intellectual property > Patents: licensing
- Intellectual property > Patents: litigation (full coverage)
- Intellectual property > Patents: litigation (International Trade Commission)
- M&A/corporate and commercial > Private equity buyouts: large deals ($500m+)
- Dispute resolution > Product liability, mass tort and class action - defense: consumer products (including tobacco)
- Dispute resolution > Product liability, mass tort and class action - defense: toxic tort
- Finance > Project finance
- Real estate > Real estate
- Real estate > Real estate investment trusts (REITs)
- Energy > Renewable/alternative power
- Finance > Restructuring (including bankruptcy): corporate
- Dispute resolution > Securities litigation: defense
- Industry focus > Sport
- Finance > Structured finance: derivatives and structured products
- Media, technology and telecoms > Technology transactions
- Media, technology and telecoms > Telecoms and broadcast: regulatory
- Media, technology and telecoms > Telecoms and broadcast: transactions
- Intellectual property > Trade secrets (litigation and non-contentious matters)
- Tax > US taxes: contentious
- Tax > US taxes: non-contentious
Firm Rankings
- M&A/corporate and commercial > Corporate governance
- International trade and national security > Customs, export controls and economic sanctions
- Energy > Energy regulation: electric power
- Energy > Energy regulation: oil and gas
- Dispute resolution > General commercial disputes
- Government > Government contracts
- Insurance > Insurance: non-contentious
- Dispute resolution > International litigation
- Investment fund formation and management > Private equity funds (including venture capital)
- Healthcare > Service providers
- Finance > Structured finance: securitization
- M&A/corporate and commercial > Venture capital and emerging companies
- Dispute resolution > Financial services litigation
- Healthcare > Health insurers
- Dispute resolution > Leading trial lawyers
- Dispute resolution > International arbitration
- Intellectual property > Trademarks: litigation
- Finance > Financial services regulation
- Dispute resolution > Appellate: courts of appeals / Appellate: supreme courts (states and federal)
- Dispute resolution > Corporate investigations and white-collar criminal defense
- M&A/corporate and commercial > Shareholder activism