You are here

Steven J. Insel

Of Counsel – Investment Advisor/Broker-Dealer, Corporate
Steven J. Insel
(310) 746-4411
Areas of Practice 
Investment Advisor/Broker-Dealer

J.D., University of Pennsylvania Law School Order of the Coif
B.S., Cornell University

Mr. Insel specializes in representing clients in the financial and professional services industries, including investment advisers, broker dealers and accounting firms, on a national and international basis. He represents some of the largest financial institutions in the world, and also many boutique wealth management firms and investment banks. He has also represented hundreds of the top financial advisers around the United States in their career moves. He handles investigations and enforcement matters involving the SEC, FINRA and State securities regulators.

Mr. Insel has been counsel in the initial formation of, or acquisition of, approximately 100 broker-dealers and investment advisers, and represented more than 40 accounting firms in their entry into financial services and in other regulatory matters. Mr. Insel has been a member of the California Society of Certified Public Accountants Financial Services Task Force and Chair of the Executive Committee of the Business & Corporations Law Section of the Los Angeles County Bar Association, where he was also Co-Chairman of the Investment Adviser Sub-Committee.

Mr. Insel has been the Chair of conferences, or made presentations at conferences sponsored by organizations such as the California CPA Education Foundation, the International Association of Financial Planners, the AICPA, Crittenden Publishing, National Regulatory Services, the National Society of Compliance Professionals, Practitioners Publishing, Lorman Educational Services, the National Association of Independent Broker-Dealers, the Beverly Hills Bar Association, the Century City Bar Association, the Los Angeles County Bar Association, XCU Capital, the International Forum, NFP Securities, Amerus Life Insurance Group and numerous other regulatory, compliance, estate planning, business management and financial planning organizations.

Mr. Insel is often quoted in the trade press. He has been featured in Research Magazine, published a series on career issues for financial advisers for Highline Media, and writes a monthly column on legal and compliance issues for Elite Advisor Forum, a site partnered by On Wall Street, Financial Planning, Bank Investment Consultant and CEG Worldwide.

Bar Admissions
State Bar of California

Los Angeles County Bar Association

01/09/12 - Elite Advisor Forum: The Hiring Boom is Back - But Don't Get Distracted from the Essentials
11/14/11 - Elite Adivsor Forum: The Advisor Recruuiting Bubble is Back
09/16/11 - Elite Advisor Forum: The Due Diligence Dilemma
08/17/11 - Elite Advisor Forum: SEC Rule Creates Opportunities - and Burdens - for Financial Advisors
05/12/11 - Elite Advisor Forum: How Advisors Can Benefit by Preparing HNW Clients for Liquidity Events
04/15/11 - Elite Advisor Forum: Considerations When Seeking Referrals from Accountants
02/16/11 - Elite Advisor Forum: Team and Shareholder Agreements: The Commercial Pre-Nup (Part 2)
01/13/11 - Elite Advisor Forum: Team and Shareholder Agreements - the Commercial Pre-Nup
11/15/10 - Elite Advisor Forum: How to End a Career in a Moment of Carelessness (Part 3)
10/19/10 - Elite Advisor Forum: How to End a Career in a Moment of Carelessness (Part 2)
10/05/10 - Elite Advisor Forum: How to End a Career in a Moment of Carelessness
12/05/08 - Research Magazine: Today's Recruiting Market

Media Mentions
09/22/11 - Investment News: IRS Gives B-Ds a Chance to Come Clean on Classifying Employees
04/03/11 - Investment News: Securities Amercia Won't Be Stranded
08/05/10 - Investment News: LPL Playing Steep Price for NRP
05/10/10 - Research Magazine: Financial Advisors Find They Can Negotiate Their Own Deals
06/08/09 - Investment News: Smith Barney Charges Broker Breached a Contract
02/08/09 - Investment News: House Committee Explores Payouts at Brokerage Firms
04/09/07 - Investment News: United Securities Stick Former Brokers With Tail E&O Bill
03/26/07 - SEC Soon May File Its First Privacy Case Firms at Risk for Using Client Data to Transfer Accounts

Speaking Engagements
01/26/11 - SourceMedia Weinar: SEC Study
09/21/10 - California Society of CPAs State Personal Financial Planning Meeting: Financial Regulatory Reform
07/14/10 - Planning for the Business Divorce: A Short Course on Key Issues
07/14/10 - Opus Connect Private Equity Group: Planning for the Business Divorce