Stephen Cohen Bio

Stephen Cohen focuses his practice on broker-dealer regulation and the securities markets for major international banks, domestic and foreign investment banks, full-service and boutique brokerage firms, clearing firms, transfer agents, and private funds. He takes a strategic and practical approach to a wide variety of regulatory and transactional matters, including federal and state registration and compliance issues as well as SRO membership and compliance issues, including FINRA, the stock exchanges and the clearing corporations.