Mr Gary Stein > Schulte Roth & Zabel LLP > New York, United States > Lawyer Profile

Schulte Roth & Zabel LLP
NEW YORK, NY 10022
United States
Gary Stein photo

Work Department

Litigation, Regulatory & Compliance, Securities Enforcement, White Collar Defense & Government Investigations


Gary Stein focuses on white collar criminal defense and securities regulatory matters, complex commercial litigation, internal investigations, anti-money laundering issues, civil and criminal forfeiture proceedings and appellate litigation. He represents public companies, financial institutions, hedge funds, other entities and individuals as subjects, victims and witnesses in federal and state criminal investigations and regulatory investigations by the SEC, SROs and state attorneys general. He has conducted numerous internal investigations involving potential violations of the Foreign Corrupt Practices Act, financial statement fraud, money laundering and other matters, and advises companies on compliance with the FCPA and anti-money laundering and OFAC regulations. As a former Assistant U.S. Attorney and chief appellate attorney in the Southern District of New York, Gary investigated, prosecuted, tried and represented the government on appeal in numerous white-collar criminal cases involving money laundering, fraudulent investment schemes, bank fraud, insider trading, art theft, illegal kickbacks, terrorist financing and other financial crimes. His civil litigation experience includes claims of fraud and breach of contract, securities class actions and derivative actions, contests over corporate control, and disputes arising from the sale of a business. He has handled more than 150 appeals in federal and state courts involving issues of both criminal law and procedure and complex commercial law. He has successfully argued 17 appeals in the U.S. Court of Appeals for the Second Circuit.

Gary has been recognized as a leading litigation attorney by The Legal 500 US, Benchmark Litigation: The Definitive Guide to America’s Leading Litigation, New York Super Lawyers, Firm & Attorneys and Who’s Who Legal: Business Crime Defence. An accomplished public speaker and writer, he has presented on FCPA, insider trading, risk management and crisis management issues at a number of conferences. Gary has been presented with Burton Awards for Distinguished Legal Writing. In 2008, he won for co-authoring “The Foreign Corrupt Practices Act: Recent Cases and Enforcement Trends,” which appeared in the Journal of Investment Compliance and in 2015, he won for authoring “Pension Forfeiture and Prosecutorial Policy-Making,” which appeared in the NYU Journal of Legislation and Public Policy Quorum. Additionally, he co-authors the “Scienter: Trading ‘On the Basis Of’” chapter in the Insider Trading Law and Compliance Answer Book. Gary serves on the Board of Editors of the Business Crimes Bulletin. He received his J.D. from NYU School of Law and his B.A. from NYU.


Board of Editors, Business Crimes Bulletin.


New York University School of Law, JD (Senior Articles Editor, New York University Law Review); New York University, BA

Lawyer Rankings

United States > Dispute resolution > Corporate investigations and white-collar criminal defense

The team at Schulte Roth & Zabel LLP is most noted for its defense of individuals in government investigations and enforcement actions, but it is also instructed by a range of corporates and financial institutions. On the coporate side, the group currently represents a variety of pharmaceutical companies in relation to FCA violations and cases arising from the opioid crisis. Other areas of expertise include FCPA and sanctions work, both of which are areas of expertise for New York’s Gary Stein. The group is co-led by veteran trial lawyer in New York Barry Bohrer, Washington DC’s Adam Hoffinger, a compliance and investigations expert, and Douglas Koff, also in New York, who focuses on representing financial institutions and broker-dealers in criminal proceedings and government investigations.

United States > Dispute resolution > Securities litigation: defense

Schulte Roth & Zabel LLP has a five-partner team that handles securities litigation from both its New York and Washington DC offices. It frequently defends federal and state securities claims across the US, with a particularly prominent role in the defense of hedge funds and private equity firms. Its work also includes the representation of Fortune 500 corporations, securities underwriters and broker-dealers. It has recently shown its prowess in financial services cases, having acted for individuals and organizations accused of insider trading and in short-swing, as well as in disputes relating to blockchain technology and cryptocurrencies. Practice head Michael Swartz in New York and Peter White in DC are the lead partners. Regulatory specialists Gary Stein in New York and DC-based partner Howard Schiffman are also recommended.

United States > Dispute resolution > General commercial disputes

From its offices in New York and Washington DC, Schulte Roth & Zabel LLP excels in litigation related to investment management. It also has expertise in broker-dealer disputes, shareholder activism and proxy contests. In a highlight matter, co-chair Michael Swartz recently won a series of victories for hedge fund venBio Select Advisor and is continuing to advise the company relating to its proxy contest at Immunomedics. Elsewhere, William Gussman is representing TPG Specialty Lending in securing repayment of credit from IHeartMedia, after the latter went into bankruptcy. Other key lawyers to note are co-chair of litigation group Peter White (in DC); Taleah Jennings, who focuses on fiduciary-related issues; Gary Stein, who has deep experience at appellate level; and Robert Ward, who specializes in commercial and securities litigation.