Steven J. Insel

Of Counsel

Bar Admissions

State Bar of California


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 NewsFinancial 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.


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