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Stephen P. Wilkes - San Francisco, CA

315 Montgomery StreetSuite 900 San Francisco, CA 94104

Updated: 02/04/2022

San Francisco ERISA Lawyer

Overview

Stephen Wilkes, a partner in the firm, heads the firm's Investment Management Law practice. He also is a Practice Group leader for the firm's ERISA Fiduciary Compliance and Independent Fiduciary practices...

Stephen Wilkes, a partner in the firm, heads the firm's Investment Management Law practice. He also is a Practice Group leader for the firm's ERISA Fiduciary Compliance and Independent Fiduciary practices. Steve advises a national client base of mutual funds, CIFs, private funds, registered investment advisers, insurance companies, broker dealers, wealth management firms, banks, trust companies, third-party platform providers, Taft Hartley Funds and plan sponsors on ERISA, tax, and related securities law issues. Stephen counsels clients regarding ERISA fiduciary and prohibited transaction issues, investment matters, alternative investments, securities law issues, federal tax issues, and the employee benefits aspects of bankruptcy and related financial restructurings, reorganizations and liquidations. He interacts with regulatory agencies and Congressional staff on legislative and regulatory issues involving the DOL, SEC, IRS, PBGC and OCC.

Stephen has extensive experience in handling audits by the Department of Labor, the IRS, and the United States' Security and Exchange Commission. He gives advice and counseling with respect to retirement plan services agreements, investment management agreements, DOL regulations, SEC regulations, federal legislative activity, qualified employee pension plans, ERISA litigation, Collective Investment Funds, off-shore investment advisers, Sales and Marketing Distribution Agreements and Wrap-Fee Programs. Stephen has also worked closely with his clients regarding structure among broker-dealer firms and platform provider firms for product distribution and preparing non-discretionary or discretionary advisory agreements, Form ADV Part 2, regulatory disclosures and filings, marketing materials, prospectus, revenue sharing, best investment management practices, CIF advisory and sub-advisory agreements, selling and administrative services agreements, distribution agreements, vendor agreements, compliance manuals and WSP's. Stephen has worked with various parties to Chapter 11 bankruptcy proceedings and other financial reorganization and restructuring matters on ERISA, pension plan, and related employee benefit matters and claims.

Prior to working at The Wagner Law Group, Stephen worked as an attorney in a San Francisco law firm, as senior counsel at Financial Engines, Inc. in Palo Alto, and at Merrill Lynch in San Francisco in the fields of ERISA, Securities, and retirement/compensation services. Additionally, Stephen founded and headed his own firm specializing in the area of ERISA.

Stephen's experience also includes partner, associate, general counsel, and assistant general counsel positions at The LTV Corporation (NYSE) in Cleveland, Merchants Suisse Inc. in New York, New York, Hughes and Luce in Dallas, Winstead, Sechrest & Minick in Dallas, Texas, and at Gordon Hurtwitz in New York, New York.

About Stephen P. Wilkes

Current Employment Position(s)

  • Chief Legal Officer, Partner

Practice Areas

  • ERISA
  • Employee Benefits & Executive Compensation
  • Investment Management
  • Legislative, Regulatory & Policy Services
  • Independent Fiduciary Services
  • Labor
  • Employment & HR
  • Bankruptcy and Restructuring
  • Taft-Hartley Trusts

Qualifications

Bar Admissions

  • California
  • New York
  • Massachusetts
  • Texas
  • U.S. Tax Court
  • U.S. Court of Federal Claims
  • U.S. District Court Southern District of New York

Other Affiliations

  • American Bar Association
  • Planning Committee, Membership Committee, Western Pension Benefit Conference, San Francisco, CA
  • JCC Marin (Board member)
  • Speaking engagements for organizations including Western Pension Benefit Conference; Goldman Sachs; Texas Society of CPA’s; CFA Society of San Francisco; Black Rock; JP Morgan, Harvard Club; LIMRA; Natixis; Loring Ward Financial Services; FINRA Roundtable; SEC Regional Conference; American Bar Association; Yale Club.
  • Editor and Contributing Author to “Roadmap to Executive Compensation”, THE BUSINESS LAWYER

Classes and Seminars

  • ESOPs as a Succession Planning Tool: Delivering Massive Benefits to Participants, Complying With ERISA Requirements - Co-panelist, Strefford CLE webinar, June 10, 2021, 1:00 - 2:30 PM (EDT)
  • Retirement Plan Fiduciary Training - Segment 2: Retirement Plan CommitteeGovernance Best Practices - Co-panelist, The Wagner Law Group and Institutional Investment Consulting live webcast, March 17, 2021, 2:00 PM (EDT)
  • Retirement Plan Fiduciary Training - Co-panelist, The Wagner Law Group and Institutional Investment Consulting live webcast, February 3, 2021, 2:00 PM (EST)
  • A Q4 2020 DC Plan Sponsor Litigation Update - Co-panelist, free webinar, sponsored by The Wagner Law Group, Institutional Investment Consulting and Euclid Specialty Managers, November 19, 2020, 2:00 PM (EST)
  • The Rising Threat of Cyber Attacks: How to Keep Retirement Benefit Plans and Plan Administration Secure - Presenter, Segal webinar, October 21, 2020
  • Trends in ESOP Litigation - Co-panelist, Celesq and West LegalEdcenter online course, September 2, 2020
  • Retirement Plan Fiduciary Training: Segment 2 - Co-panelist, The Wagner Law Group and Institutional Investment Consulting complimentary live webcast, July 23, 2020 2:00 PM (EDT)
  • New Bankruptcy Provisions That Can Impact Clients - Co-panelist with Izzy Goldowitz, Financial Experts Network live webinar, July 9, 2020 4:00 PM (EDT)
  • Return of the DOL’s ‘Five-Part Fiduciary Test’- Co-author with Livia Aber and Barry Salkin, 401(k) Specialist, July 2, 2020
  • Business Succession Planning with a Focus on Employee Stock Ownership Plans (ESOPs) and Related Transactions- West/Thomson Reuters, May 26, 2020, 12:00 PM (EDT)
  • Retirement Plan Fiduciary Training - Co-panelist, The Wagner Law Group and Institutional Investment Consulting live webcast, May 19, 2:00 PM (ET)
  • Impact of the Economic Downturn on Single Employer Defined Benefit Pension Plans- Co-panelist with Jon Schultze, May 7, 2020, 1:00 PM (ET)
  • Impact of the Economic Downturn on Defined Contribution Pension Plans - Co-panelist with Jon Schultze, The Wagner Law Group Free Webinar, May 4, 2020, 1:00 PM (ET)
  • Lawyer Insights on SECURE Act Planning and Obligations - Co-panelist with Roberta Casper Watson, Financial Experts Network webinar, April 30, 2020, 12:00 - 1:15 PM (ET)
  • No Easy Answer to Question of Who is ‘Essential' Staff - Pensions & Investments, April 20, 2020
  • Employee Benefits and Bankruptcy: A Timely and Multi-Perspective Look - Co-panelist with Izzy Goldowitz, The Wagner Law Group FREE Webinar, April 20, 2020, 1:00 (PM)
  • ESOP Trustee and Independent Fiduciary Matters - Speaker, Hawkins Parnell & Young, LLP Business Succession Planning with ESOPs Seminar, January 28, 2020, Austin, TX
  • ERISA Litigation and Regulation: The Current Landscape and What the Future Holds - Panelist, The Knowledge Group live CLE webinar, December 16, 2019, 12:00 - 2:00 PM
  • Retirement Plan Alternative Investments in Anticipation of Economic Volatility - FREE webinar sponsored by The Wagner Law Group, December 4, 2019, 1:00 - 2:00 PM (ET)
  • Alternative Investment Markets - Steve Wilkes, speaker, International Foundation of Employee Benefits Plans 65th Annual Employee Benefits Conference, October 20 - 23, 2019, San Diego Convention Center, San Diego, CA
  • New York Probe May Portend Shake-Up of Annuity-Heavy 403(b) Plans - Life Annuity Specialist, October 7, 2019
  • Fall Benefits Briefing - Webinar panelist with Thonas Clark, Jr., Izzy Goldowitz, Mark Poerio, Susan Rees and guest, Chris Condeluci, The Wagner Law Group Free Webinar, September 25, 2019
  • ERISA Independent Fiduciary: When and Why to Use One - speaker, Financial Planning Association of Metro New York 20th Annual Forum, April 29, 2019, New York, NY
  • Supreme Court Decision ‘Greatly Expands’ SEC 10b-5 Liability - PLANADVISOR, April, 12, 2019
  • SEC/DOL/State Fiduciary Regulations - Speaker, Due Diligence Works’ 2019 Annual Compliance & Supervision Conference, April 3 - 4, 2019, Wyndham Grand, Clearwater, FL
  • The Wagner Law Group Employee Benefits Briefing - Moderator, with Izzy Goldowitz, Dan Brandenburg, Candace Quinn and Susan Rees, FREE webinar, March 28, 2019, 1:00 - 2:00 PM (ET)
  • Broker-Dealer Private Placements - The Wagner Law Group Free Investment Management Law Webinar, March 19, 2019, 12:00 to 1:00 PM (EST)
  • Regulators signal end to de facto, 10-year grace period for automated advisors and other digital high flyers even if 'perp walk' satisfies more than disgracing a robot - RIABiz, March 1, 2019
  • ERISA and the Independent Fiduciary: When and How Plans Should Use Them - Stephen Wilkes webinar, November 15, 2018, 12:00 PM (EST)
  • Fiduciary Regulations: Year in Review - Stephen Wilkes and Livia Aber, FREE Wagner Law Group Webinar, November 28, 2018
  • The Evolution of Fiduciary Standard Rule – Stephen Wilkes, co-speaker at The National Society of Compliance Professionals (NSCP) National Conference, October 29 -31, 2018, Omni Atlanta Hotel at CNN Center, Atlanta, GA
  • The Fiduciary Responsibility Rules - Stephen Wilkes, speaker at the Great Lakes TE/GE Council meeting, October 19, 2018
  • Regulatory Issues and Concerns – Stephen Wilkes, speaker at the Financial Planning Association’s 2018 Annual Conference, October 3 – 5, 2018, Hyatt Regency, Chicago, IL
  • Senior Investors: Best Practices and Initiatives – Stephen Wilkes, co-speaker on a webinar sponsored by National Compliance Services (“NCS”), June 5, 2018
  • What You Have to Know from Washington D.C. - Legislation, Regulation, and Judicial Rulings – Stephen Wilkes, speaker, 2018 FPA NorCal Conference, May 29 – 30, 2018, The Palace Hotel, San Francisco, CA.
  • Regulatory Focus on Share Class Selection in 2018 – Steve Wilkes, speaker, Wells Fargo Clearing Services First Clearing Compliance & Risk Management Forum, The Chase Park Plaza Royal Sonesta Hotel, St. Louis, MO, April 5-6, 2018
  • SEC REBOOTS FOCUS ON ROBO-ADVISERS - Investment Law FREE Webinar, Tuesday, February 27, 2018 1:00 pm, Eastern Time
  • DOL Rule Faces Legal Assault Over Scottrade Charges - Financial Advisor IQ (Financial Times), February 21, 2018
  • Lawsuit Appellants: State Case Against Scottrade Highlights Why DOL Rule Needs to Go - WealthManagement.com, February 20, 2018
  • State Securities Cops Filling In For Feds On Fiduciary Beat - Law360, February 20, 2018
  • Fee Transparency on SEC’s 2018 Hit List - WealthManagement.com, February 7, 2018
  • Wrap-Fee Programs: What Sayeth The SEC? - Investment Law Webinar, Thursday, January 25, 2018 12:00 pm, EST
  • Cutting through the red tape of adviser regulation is tricky - Investment News, January 20, 2018
  • Finra advances proposals to clarify outside business activities, churning rules, Investment News, December 21, 2017
  • Steve Wilkes interviewed on Radio Entrepreneurs, December 2017
  • Review of Current SEC and FINRA Guidance on Advising Senior Investors - Webinar, December 7, 2017
  • Prohibited Transactions: What Are They, When Can They Occur and What to Do When One Happens - Steve Wilkes, co- speaker at The SouthWest Benefits Association's 28th Annual Benefits Compliance Conference, November 2 – 3, 2017, Crowne Plaza, Dallas, TX
  • Regulatory/Litigation Update – Stephen Wilkes, speaker at the Best of Plan Sponsor National Conference, November 1, 2017, Balboa Bay Resort, Newport Beach, CA
  • Review of SEC Risk Alert Concerning the Advertising Rule of the Advisers Act and Performance Reporting Issues – Stephen Wilkes and Livia Aber webinar, October 19, 2017
  • The Fiduciary Standard of Care – With or Without the DOL – Steve Wilkes, speaker at the 2017 National Society of Compliance (NSCP) National Conference, October 16 -18, 2017, Omni Shoreham Hotel, Washington, D.C.
  • Southern California Compliance Group’s Third Quarter Members Meeting - Stephen Wilkes, speaker, Tuesday, August 29, 2017, 11:30 AM - 1:30 PM, at Pacific Life Insurance Company, 700 Newport Center Dr., 3rd Floor, Newport Beach, CA
  • 4 Questions to Ask Your Financial Adviser Now - Consumer Reports, June 9, 2017
  • DOL Fiduciary Rule – Steve Wilkes, speaker at the NCS Regulatory Compliance Annual Compliance Conference, June 21, 2017 to June 23, 2017, at the Eau Palm Beach Resort & Spa, Palm Beach, FL
  • DOL Virtual Roundtable - Stephen Wilkes and Livia Aber co-moderate a discussion on the implementation of the Department of Labor’s new fiduciary rule for NSCP (National Society of Compliance Professionals), June 14, 2017, at 1:00 PM (ET)
  • To BIC or not to BIC – Steve Wilkes, speaker at the Alternative & Direct Investment Securities Association 2017 Spring Conference, April 3, 2017 to April 5, 2017, at Hyatt Regency New Orleans, LA
  • Advice on the Bice – Livia Q. Aber and Stephen P. Wilkes, Wolters Kluwer’s Practical Compliance & Risk Management for the Securities Industry, Vol. 10, No. 1, January-February 2017
  • DOL Fiduciary Rule Webinar - Steve Wilkes, moderator, Webinar for National Compliance Services ("NCS"), December 7, 2016
  • DOL Fiduciary Rule – Steve Wilkes, speaker, National Association of Personal Financial Advisors (NAPFA), West Coast Annual Meeting (Berkeley, CA), November 13, 2016
  • ERISA Lawsuit Implications for Plan Sponsor Fiduciaries and Broker-Dealer Compliance Panel – Steve Wilkes, speaker, 2016 National Planning Holdings, Inc. Annual Retirement Symposium, at the Omni Austin Hotel Southpark (Austin, TX), November 2, 2016
  • DOL Fiduciary Rule - with an emphasis on the rule’s effect on private fund ERISA fiduciaries - ACA Compliance Group’s Fall 2016 Compliance Conference at the Ritz-Carlton in Marina Del Ray, CA, October 27, 2016
  • DOL Fiduciary Rule 101, Fundamental Overview - 2016 National Society of Compliance Professionals (NSCP) National Conference (Washington, DC), October 17-19, 2016
  • Retirement industry providers are preparing careful responses to the fiduciary rule - PlanAdviser, September/October 2016
  • Understanding DOL Rule Impacts on the Financial Planning Process – Webinar for North Highland Worldwide Consulting, September 14, 2016.
  • Panel on the new DOL Fiduciary Regulation - Presentation for Pensions & Investments and Investment News, April 28, 2016
  • Webinar on the new DOL Fiduciary Regulation - National Society of Compliance Professionals (NSCP) and LIMRA, April 28, 2016
  • Fiduciary Regulation - LPL Retirement Partners Symposium (New Orleans, LA), April 26, 2016
  • Final Look at DOL Fiduciary Proposal - A Game Changer - Webinar for National Society of Compliance Professionals, March 10, 2016
  • Securities Law Primer for ERISA Professionals - Webinar for American Law Institute, February 18, 2016
  • Presentation at Northern California Chapter of International Society of Employee Benefit Specialists (ISEB) - December 8, 2015
  • ERISA Cyber Security – The Next Frontier - ERISA Webinar (35 minutes), November 18, 2015
  • What You Need to Know About Investment Advisory Agreements - ERISA & Investment Management Law Webinar, October 1, 2015
  • Retirement Plan Controlled Group and Affiliated Service Organization Rules - ERISA Webinar (Approximately 30 minutes), August 26, 2015
  • Gaps remain in perception of cyber threats - Pensions & Investments, August 24, 2015
  • Overview of Retirement Plan Qualification Rules - ERISA Webinar (30 minutes), August 4, 2015
  • NAIC to Examine DOL’s Proposed IRA Annuity Rules - InsuranceNewsNet, July 8, 2015
  • Senate, House OK Bills to Defund Fiduciary Push - InsuranceNewsNet, June 24, 2015
  • DOL Proposal On ERISA Fiduciary Status For Investment Advisers - ERISA & Investment Management Law Webinar for National Compliance Services ("NCS") (50 min), June 18, 2015
  • Fiduciary Regulation - Two Presentations for Jackson National Life, June 13, 2016 (Denver, Colorado) and June 16, 2016 (Atlanta, GA)
  • Fiduciary Regulation - Presentations for the Retirement Management Executive Forum (Chicago, Illinois), June 8–9, 2016
  • Review of the new fiduciary rule for retirement advisers - Stephen Wilkes, Presentation for The Financial Women of San Francisco and the Financial Planners Association of San Francisco, June 7, 2016
  • Cybersecurity Policy and Procedure: Legal Considerations for Written Policy Statement - ERISA & Investment Management Law Webinar (30 min), April 16, 2015
  • Hedge Fund Due Diligence: ERISA and Other Legal Concerns - ERISA & Investment Management Law Webinar (30 min), March 26, 2015
  • Your Independent Contractors Are Not Who You Think They Are: Employee Status Matters - Employment Law Webinar, March 5, 2015
  • 2015 Regulatory Kickoff for Investment Advisers and Broker Dealers - Investment Management Law Webinar (30 min.), February 19, 2015
  • Performance Advertising Issues for Investment Advisers - Investment Management Law Webinar, January 22, 2015
  • ERISA Whistle Blowers - Pension Risk Matters, November 18, 2014
  • A Full View of CIF: Securities Law, Banking & ERISA - ERISA Webinar, November 12, 2014
  • More on SEC and FINRA Developments - ERISA Webinar, October 16, 2014
  • Trending Topics for Registered Investment Advisors - ERISA Webinar, September 10, 2014
  • Hot Topics for Advisors and Plan Sponsors - ERISA Webinar, July 23, 2014
  • Using Insurance Inside of Deferred Compensation Agreements - ERISA Webinar, June 19, 2014
  • Service Agreements with Plans: An In-Depth Analysis - ERISA Webinar, May 15, 2014
  • Advantages and Traps with Bonus Compensation for Non-Profit - Executive Compensation Agreements - ERISA Webinar, April 10, 2014
  • Section 457(f): Planning for Your Non-Profit Clients - ERISA Webinar, March 20, 2014
  • Use of Social Media: Should We Worry about ERISA? - ERISA Webinar, February 6, 2014
  • Should You have a Formal ERISA Compliance Policy? - ERISA Webinar, December 12, 2013

Pro Bono Activities

  • Board Member, San Francisco YMCA

Past Positions

  • Drinker, Biddle & Reath LLC, San Francisco, California, Attorney, 2008 - 2012
  • Financial Engines, Inc., Palo Alto, Senior Counsel, 2006 - 2008
  • Stephen P. Wilkes, San Francisco, 2004 - 2006
  • ERISA Consulting
  • Merrill Lynch, San Francisco, 2002 - 2004
  • The LTV Corporation (NYSE), Cleveland, Assistant General Counsel, 1997 - 2001
  • Merchants Suisse Inc.,New York, General Counsel, 1993 - 1997
  • Hughes And Luce, Dallas, Partner, 1991 - 1993
  • Winstead, Sechrest & Minick, Dallas, Associate, Partner, 1983 - 1991
  • Gordon Hurwitz, New York, Associate, 1980 - 1983

Education

  • Emory University School of Law, Atlanta, Georgia
    J.D.
  • RIBA, Political Science, University of Rhode Island, Kingston, RI. 1976
  • Emory University
    M.B.A.

Articles

Published Works

  • Editor and Contributing Author to “Roadmap to Executive Compensation”, THE BUSINESS LAWYER
  • ESOPs as a Succession Planning Tool: Delivering Massive Benefits to Participants, Complying With ERISA Requirements - Co-panelist, Strefford CLE webinar, June 10, 2021, 1:00 - 2:30 PM (EDT)
  • Retirement Plan Fiduciary Training - Segment 2: Retirement Plan CommitteeGovernance Best Practices - Co-panelist, The Wagner Law Group and Institutional Investment Consulting live webcast, March 17, 2021, 2:00 PM (EDT)
  • Retirement Plan Fiduciary Training - Co-panelist, The Wagner Law Group and Institutional Investment Consulting live webcast, February 3, 2021, 2:00 PM (EST)
  • A Q4 2020 DC Plan Sponsor Litigation Update - Co-panelist, free webinar, sponsored by The Wagner Law Group, Institutional Investment Consulting and Euclid Specialty Managers, November 19, 2020, 2:00 PM (EST)
  • The Rising Threat of Cyber Attacks: How to Keep Retirement Benefit Plans and Plan Administration Secure - Presenter, Segal webinar, October 21, 2020
  • Trends in ESOP Litigation - Co-panelist, Celesq and West LegalEdcenter online course, September 2, 2020
  • Retirement Plan Fiduciary Training: Segment 2 - Co-panelist, The Wagner Law Group and Institutional Investment Consulting complimentary live webcast, July 23, 2020 2:00 PM (EDT)
  • New Bankruptcy Provisions That Can Impact Clients - Co-panelist with Izzy Goldowitz, Financial Experts Network live webinar, July 9, 2020 4:00 PM (EDT)
  • Return of the DOL’s ‘Five-Part Fiduciary Test’- Co-author with Livia Aber and Barry Salkin, 401(k) Specialist, July 2, 2020
  • Business Succession Planning with a Focus on Employee Stock Ownership Plans (ESOPs) and Related Transactions- West/Thomson Reuters, May 26, 2020, 12:00 PM (EDT)
  • Retirement Plan Fiduciary Training - Co-panelist, The Wagner Law Group and Institutional Investment Consulting live webcast, May 19, 2:00 PM (ET)
  • Impact of the Economic Downturn on Single Employer Defined Benefit Pension Plans- Co-panelist with Jon Schultze, May 7, 2020, 1:00 PM (ET)
  • Impact of the Economic Downturn on Defined Contribution Pension Plans - Co-panelist with Jon Schultze, The Wagner Law Group Free Webinar, May 4, 2020, 1:00 PM (ET)
  • Lawyer Insights on SECURE Act Planning and Obligations - Co-panelist with Roberta Casper Watson, Financial Experts Network webinar, April 30, 2020, 12:00 - 1:15 PM (ET)
  • No Easy Answer to Question of Who is ‘Essential' Staff - Pensions & Investments, April 20, 2020
  • Employee Benefits and Bankruptcy: A Timely and Multi-Perspective Look - Co-panelist with Izzy Goldowitz, The Wagner Law Group FREE Webinar, April 20, 2020, 1:00 (PM)
  • ESOP Trustee and Independent Fiduciary Matters - Speaker, Hawkins Parnell & Young, LLP Business Succession Planning with ESOPs Seminar, January 28, 2020, Austin, TX.
  • ERISA Litigation and Regulation: The Current Landscape and What the Future Holds - Panelist, The Knowledge Group live CLE webinar, December 16, 2019, 12:00 - 2:00 PM
  • Retirement Plan Alternative Investments in Anticipation of Economic Volatility - FREE webinar sponsored by The Wagner Law Group, December 4, 2019, 1:00 - 2:00 PM (ET)
  • New York Probe May Portend Shake-Up of Annuity-Heavy 403(b) Plans - Life Annuity Specialist, October 7, 2019
  • Alternative Investment Markets - Steve Wilkes, speaker, International Foundation of Employee Benefits Plans 65th Annual Employee Benefits Conference, October 20 - 23, 2019, San Diego Convention Center, San Diego, CA
  • Fall Benefits Briefing - Webinar panelist with Thonas Clark, Jr., Izzy Goldowitz, Mark Poerio, Susan Rees and guest, Chris Condeluci, The Wagner Law Group Free Webinar, September 25, 2019
  • Supreme Court Decision ‘Greatly Expands’ SEC 10b-5 Liability - PLANADVISOR, April, 12, 2019
  • ERISA Independent Fiduciary: When and Why to Use One - speaker, Financial Planning Association of Metro New York 20th Annual Forum, April 29, 2019, New York, NY
  • SEC/DOL/State Fiduciary Regulations - Speaker, Due Diligence Works’ 2019 Annual Compliance & Supervision Conference, April 3 - 4, 2019, Wyndham Grand, Clearwater, FL
  • The Wagner Law Group Employee Benefits Briefing - Moderator, with Izzy Goldowitz, Dan Brandenburg, Candace Quinn and Susan Rees, FREE webinar, March 28, 2019, 1:00 - 2:00 PM (ET)
  • Broker-Dealer Private Placements - The Wagner Law Group Free Investment Management Law Webinar, March 19, 2019, 12:00 to 1:00 PM (EST)
  • Fiduciary Regulations: Year in Review - Stephen Wilkes and Livia Aber, FREE Wagner Law Group Webinar, November 28, 2018
  • ERISA and the Independent Fiduciary: When and How Plans Should Use Them - Stephen Wilkes webinar, November 15, 2018, 12:00 PM (EST)
  • The Evolution of Fiduciary Standard Rule – Stephen Wilkes, co-speaker at The National Society of Compliance Professionals (NSCP) National Conference, October 29 -31, 2018, Omni Atlanta Hotel at CNN Center, Atlanta, GA
  • Regulatory Issues and Concerns – Stephen Wilkes, speaker at the Financial Planning Association’s 2018 Annual Conference, October 3 – 5, 2018, Hyatt Regency, Chicago, IL
  • Senior Investors: Best Practices and Initiatives – Stephen Wilkes, co-speaker on a webinar sponsored by National Compliance Services (“NCS”), June 5, 2018
  • What You Have to Know from Washington D.C. - Legislation, Regulation, and Judicial Rulings – Stephen Wilkes, speaker, 2018 FPA NorCal Conference, May 29 – 30, 2018, The Palace Hotel, San Francisco, CA.
  • Regulatory Focus on Share Class Selection in 2018 – Steve Wilkes, speaker, Wells Fargo Clearing Services First Clearing Compliance & Risk Management Forum, The Chase Park Plaza Royal Sonesta Hotel, St. Louis, MO, April 5-6, 2018
  • SEC REBOOTS FOCUS ON ROBO-ADVISERS - Investment Law FREE Webinar, Tuesday, February 27, 2018
  • DOL Rule Faces Legal Assault Over Scottrade Charges - Financial Advisor IQ (Financial Times), February 21, 2018
  • State Securities Cops Filling In For Feds On Fiduciary Beat - Law360, February 20, 2018
  • Lawsuit Appellants: State Case Against Scottrade Highlights Why DOL Rule Needs to Go - WealthManagement.com, February 20, 2018
  • Fee Transparency on SEC’s 2018 Hit List - WealthManagement.com, February 7, 2018
  • Wrap-Fee Programs: What Sayeth The SEC? - Investment Law Webinar, Thursday, January 25, 2018 12:00 pm, EST
  • Cutting through the red tape of adviser regulation is tricky - Investment News, January 20, 2018
  • Finra advances proposals to clarify outside business activities, churning rules, Investment News, December 21, 2017
  • Review of Current SEC and FINRA Guidance on Advising Senior Investors - Webinar, December 7, 2017
  • Prohibited Transactions: What Are They, When Can They Occur and What to Do When One Happens - Steve Wilkes, co- speaker at The SouthWest Benefits Association's 28th Annual Benefits Compliance Conference, November 2 – 3, 2017, Crowne Plaza, Dallas, TX
  • Regulatory/Litigation Update – Stephen Wilkes, speaker at the Best of Plan Sponsor National Conference, November 1, 2017, Balboa Bay Resort, Newport Beach, CA
  • Review of SEC Risk Alert Concerning the Advertising Rule of the Advisers Act and Performance Reporting Issues – Stephen Wilkes and Livia Aber webinar, October 19, 2017
  • The Fiduciary Standard of Care – With or Without the DOL – Steve Wilkes, speaker at the 2017 National Society of Compliance (NSCP) National Conference, October 16 -18, 2017, Omni Shoreham Hotel, Washington, D.C.
  • Southern California Compliance Group’s Third Quarter Members Meeting - Stephen Wilkes, speaker, Tuesday, August 29, 2017, 11:30 AM - 1:30 PM, at Pacific Life Insurance Company, 700 Newport Center Dr., 3rd Floor, Newport Beach, CA
  • 4 Questions to Ask Your Financial Adviser Now - Consumer Reports, June 9, 2017
  • Wagner Law Group Expands its ERISA Team - 401kWire, July 21, 2016
  • Workflows: Law Firm News for July 15, 2016 - Bloomberg BNA, July 18, 2016
  • Retirement Industry People Moves - PlanSponsor, July 8, 2016
  • Wagner Law Group Adds Stephen P. Wilkes as Partner - CityBizList, July 5, 2016
  • Premier ERISA Law Firm Reinforces its Title I Fiduciary Law Practice With the Appointment of Stephen P. Wilkes as Partner - Yahoo! Finance, July 5, 2016
  • Premier ERISA Law Firm Reinforces its Title I Fiduciary Law Practice With the Appointment of Stephen P. Wilkes as Partner - Financial Content, July 5, 2016
  • Premier ERISA Law Firm Reinforces its Title I Fiduciary Law Practice With the Appointment of Stephen P. Wilkes as Partner - BenefitsLink, July 5, 2016
  • Premier ERISA Law Firm Reinforces its Title I Fiduciary Law Practice With the Appointment of Stephen P. Wilkes as Partner - Veooz, July 5, 2016
  • Premier ERISA Law Firm Reinforces its Title I Fiduciary Law Practice With the Appointment of Stephen P. Wilkes as Partner - 4-traders.com, July 5, 2016
  • Premier ERISA Law Firm Reinforces its Title I Fiduciary Law Practice With the Appointment of Stephen P. Wilkes as Partner - StockGuru, July 5, 2016
  • The Wagner Law Group Appoints Stephen P. Wilkes as Partner - July 5, 2016

Office Information

Address

315 Montgomery StreetSuite 900 San Francisco, CA 94104

Fax

  • 415-358-8300

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