Associate

Stephen P. Wilkes is an associate in the firm's Employee Benefits & Executive Compensation Practice Group.  

Stephen has gained broad experience representing clients on matters involving employee benefits, taxation and securities law, from both a regulatory and transactional perspective, for over 30 years.  Stephen's practice today focuses mostly on investment management issues faced by the law firm’s clients, where ERISA and related securities, corporate, or banking laws intersect with regard to the creation and delivery of financial products and services.  This involves fiduciary and disclosure rules; compensation and fee arrangements; revenue sharing programs; broker-dealer, investment adviser, and service provider agreements; structuring or distribution of retirement plan investments in mutual funds, ETF’s, collective funds, private equity funds, hedge funds; monitoring of proposed legislation and regulations, and regulatory compliance with agencies such as the SEC, DOL, IRS, FINRA and OCC.

Clients include plan sponsors, plan consultants, broker dealers, investment advisers, financial consultants, service providers, trust companies, banks, and private funds.

Publications and Speaking Engagements

Stephen has had numerous speaking engagements over the years before organizations such as the American Bar Association, New York City Bar Association, Texas Bar Association, CPA Society of NYC, Financial Analysts Society, Merrill Lynch San Francisco Roundtable, Goldman Sachs Retirement Plan Conference, Harvard Club of Dallas, Harvard Club of New York, ESOP Association, and the General Counsel Forum on varied ERISA and Investment Management matters.  He has contributed as author or editor to numerous periodicals and journals, including The Business Lawyer.

In General.  Stephen earned his J.D. from Emory University School of Law and his M.B.A. from Emory University.  He received his B.A. from the University of Rhode Island.