Steven J. Insel
Of Counsel
Practices
Bar Admissions
State Bar of California
Education
J.D., University of Pennsylvania Law School Order of the Coif
B.S., Cornell University
Trusted around the globe for his in-depth knowledge and acumen of securities law, Steven Insel represents clients in the financial and professional services industries, including investment advisers, broker-dealers and accounting firms. He has served the largest financial institutions in the world, numerous boutique wealth management firms and investment banks, and even top financial advisers on their career moves. He handles investigations and enforcement matters involving the SEC, FINRA and California securities regulators. Insel is a regular contributor to leading industry publications and websites and is often quoted in the trade press, including Research Magazine, Investment News, Financial Planning, Bank Investment Consultant and CEG Worldwide. He has served as counsel in the initial formation or acquisition of dozens of broker-dealers and investment advisers, and represented more than 50 accounting firms in their entry into financial services and in other regulatory matters.
Associations
California Society of Certified Public Accountants Financial Services Task Force
Los Angeles County Bar Association (Business & Corporations Law Section, Investment Adviser Sub-Committee)
Publications & Speaking
Highline Mediaseries on career issues for financial advisers
Elite Advisor Forum/ On Wall Street, monthly column on legal and compliance issues
California CPA Education Foundation
International Association of Financial Planners
American Institute of Certified Public Accountants
Crittenden Publishing
National Regulatory Services
National Society of Compliance Professionals
Practitioners Publishing
Lorman Educational Services
National Association of Independent Broker-Dealers
Beverly Hills Bar Association, the Century City Bar Association, the Los Angeles County Bar Association
XCU Capital
International Forum
NFP Securities
Amerus Life Insurance Group
Numerous regulatory, compliance, estate planning, business management and financial planning organizations