Robert Stern


Washington, D.C.

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Rob Stern is the Chair of the Firm’s White Collar, Investigations, Securities Litigation & Compliance practice group and a nationally recognized securities litigator by both Chambers USA (Band 1) and Legal 500 (Leading Lawyer).  

For the past 20 years, Rob has handled many of the most complex financial services and civil and governmental securities matters with clients lauding Rob's outstanding work telling Chambers 2021 "[h]e has my interests at the forefront, he's a great advocate who gives strategic, candid advice and direction." "I find him great to deal with, he's a godsend." That praise is echoed by Legal 500 2021 " Rob is an excellent attorney and strategist as well as a superb client attorney. He is a guy you want in your corner.’  

Rob has a demonstrated track record of success, achieving outstanding results for financial services institutions, Fortune 100 companies, officers and directors of public companies and accounting firms.  Rob has litigated dozens of securities, commodities and M&A class actions as well as the parallel SEC, CFTC, PCAOB and/or criminal enforcement matters that accompany them. Rob's mastery of the field enables him to develop creative litigation strategies and business solutions for his clients in a broad array of situations.

In addition to being a recognized practitioner, Rob is also a recognized thought leader -- lecturing and publishing widely. Rob is a faculty member of Practicing Law Institute’s Securities Litigation program and Chairs PLI's Storming the Gatekeepers:  When Compliance Officers and In-House Lawyers Are at Risk program. Rob has also spoken on Bond Buyer webinars, NERA's Securities and Finance Seminar, the Advanced Litigation Strategy Summit and Strafford Seminars. 

Posts by: Robert Stern

Looking Out for Main Street: SEC Focuses on Retail, Cybersecurity and Cryptocurrency


The Commissioners and senior officials of the Securities and Exchange Commission (“SEC” or “Commission“) addressed the public on February 23-24 at the annual “SEC Speaks” conference in Washington, D.C. Throughout the conference, many speakers referred to the new energy that SEC Chairman Jay Clayton had brought to the Commission since his confirmation in May 2017. The speakers also seemed relieved that the SEC was finally operating with a full set of commissioners since the recent additions of Robert J. Jackson, Jr. and Hester M. Peirce. Clayton’s address introduced the main refrain of the conference: that the SEC under his leadership is focused on the long-term interests of Main Street investors. Other oft-repeated themes included the challenges presented by cybersecurity and the fast-paced developments in cryptocurrency and blockchain. To address these shifts in focus, the Enforcement division plans to add more resources to the retail, cybersecurity and cryptocurrency spaces. To view the article, click here.

Senators Introduce SAFE Lending Act

On April 7, 2016, several Democratic Senators introduced the Stopping Abuse and Fraud in Electronic (SAFE) Lending Act, SAFE 2016, which is designed to change the manner in which certain short-term unsecured consumer lending is conducted. The legislation would amend the Truth in Lending Act to establish additional requirements on lenders making certain “small-dollar consumer credit transactions,” where small-dollar transactions are defined as loans of $5,000 or less.

Introduced in advance of forthcoming Consumer Finance Protection Bureau (CFPB) payday lending regulations, SAFE 2016 sets up an interesting legislative and regulatory dynamic.  There is the obvious issue of the extent to which the legislation will be inconsistent with the new CFPB’s regulations. But there is also a fierce legislative fight brewing, as many members of Congress – including other Democrats – have already expressed support for the manner in which many payday lenders conduct business.