Stephen Topetzes

Stephen G. Topetzes is a partner at K&L Gates LLP, based in the firm's Washington, D.C. office.12 His legal practice primarily focuses on defending financial services clients and other companies or individuals in various legal matters.1

Areas of Expertise

Topetzes specializes in:

1. Government investigations
2. Regulatory litigation
3. Private litigation
4. Corporate internal investigations

He represents a wide range of clients, including public companies, boards of directors, banks, broker-dealers, investment advisers, investment companies, underwriters, and individuals.1

Regulatory Experience

Topetzes has extensive experience dealing with investigations and examinations conducted by various regulatory bodies, including:

• Securities and Exchange Commission (SEC)
• Department of Justice (DOJ)
• Financial Industry Regulatory Authority (FINRA)
• Department of Housing and Urban Development (HUD)
• Consumer Financial Protection Bureau (CFPB)
• Federal banking regulators
• State securities regulators and attorneys general1

Legal Expertise

His practice also encompasses:

• Complex litigation
• Regulatory enforcement proceedings
• Class action lawsuits
• Mutual fund excessive fee litigation
• Arbitrations1

Recognition and Awards

Topetzes has received numerous accolades for his legal work:

• Named one of the finest law firm writers of 2016 by The Burton Awards
• Selected as the 2015 "Lawyer of the Year" for Securities Regulation in Washington, D.C. by U.S. News & World Report-Best Lawyers
• Consistently listed in Best Lawyers since 2010 for Securities Regulation and Litigation - Securities
• Received the Martindale-Hubbell AV Preeminent 5.0 out of 5 rating
• Regularly selected to Super Lawyers in the category of Securities Litigation1

Professional Activities

Topetzes is actively involved in speaking engagements and authoring publications related to his areas of expertise. He frequently presents on topics such as SEC and FINRA enforcement developments, fund industry civil litigation, and government enforcement trends.1

Stephen G. Topetzes's LinkedIn profile can be found under the username stephen-topetzes-4651a17, where he is listed as a Partner at K&L Gates with over 500 connections.2