Stephen Wilkes
Partner, The Wagner Law Group
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Specialties & Experience
About Stephen Wilkes
Over 35 years legal practice involving Investment Management, Employee Benefits, ERISA Independent Fiduciary, PBM Fiduciary Services, Bankruptcy and Financial Restructuring, Securities, Tax, Executive Compensation, SEC, DOL, IRS, FINRA, OCC, FDIC, Broker Dealers, Registered Investment Advisers, Financial Institutions, Legislation, Insurance Companies, Fiduciary Transactions, Alternative Investments, Regulatory Compliance, ERISA, Investment Advisers Act, Securities Exchange Act, Investment Company Act, Private Equity, Fund Formation, Hedge Funds, Investment Vehicles, Collective Investment Vehicles, Regulatory Compliance Specialties: ERISA and Securities Law regulation of qualified retirement plan products and services, and related investment advisory and broker dealer issues.
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