Stefan D. Stein
Stefan D. Stein

Member

Phone: 303.299.8146

Fax: 303.298.0940

sstein@shermanhoward.com

vCard | Print Page

Legal Secretary

Mary Jane Adams
303.299.8153

Areas of Emphasis

Litigation, Trials & Appeals

Corporate Governance & Investigations

Securities Regulation & Compliance

Public Law

Education

  • Juris Doctor, University of Michigan Law School, 1981
  • Bachelor of Arts in Economics, with Honors, Stanford University, 1978

Stefan has extensive experience representing companies and individuals in complex business disputes, securities litigation, internal investigations, and government investigations and enforcement actions. He also regularly provides guidance on corporate compliance, indemnification, and directors and officers insurance coverage matters.

As a former chief ethics and compliance officer, senior vice president of risk management, and in-house counsel in the telecommunications/technology industry, Stefan possesses extensive first-hand corporate experience, an insider’s perspective, and exceptional skill. Leveraging that experience and skill, he takes an analytical, practical approach, tackling business issues, investigations, and compliance matters to mitigate risk.

Representative Matters

Government Investigations, Internal Corporate Investigations, and Securities Litigation

  • Represents clients in federal and state criminal investigations, state consumer protection matters, and securities litigation.
  • Represents clients in internal investigations that evaluate and report on alleged misconduct, including prior representation of special committee of board of directors.
  • Led special litigation group at a Fortune 250 company that oversaw the company’s responses and defenses to (i) government investigations by the U.S. Department of Justice, the Securities and Exchange Commission, and the General Services Administration, and (ii) securities class actions, shareholder opt-out claims, and shareholder derivative actions.

Corporate Ethics and Compliance

  • Led global ethics and compliance program at a Fortune 250 company that maintained high-integrity environment for ~30,000 employees and implemented outstanding practices regarding codes of conduct, training, investigations, and risk assessments.

Trials, Appeals, and Grand Jury Investigations 

  • As an Assistant U.S. Attorney, handled all aspects of prosecution of federal crimes, including numerous jury trials, sentencings, appeals, and grand jury investigations.

Directors & Officers (D&O) Insurance Coverage

  • Represented clients in domestic and international D&O policy rescission litigation. Negotiated and structured settlement transactions resulting in $275 million of insurance proceeds being placed in trust or escrow for the benefit of insureds; subsequently oversaw claims process.

Consumer and Small Business Services 

  • Led the legal group of a consumer/small business services division of a technology company and oversaw compliance with laws applicable to the business. Drafted a wide variety of consumer-related contracts and policies, conducted legal review of sales and marketing materials, and advocated for the company and its technology in state legislative and regulatory matters.
Professional Activities
  • Admitted in Colorado, 1996; California 1981
  • Admitted to practice before the U.S. Courts of Appeals for the Ninth and Tenth Circuits and the U.S. District Courts for the District of Colorado and Central District of California
  • Member, American Bar Association, Colorado Bar Association, Denver Bar Association, Faculty of Federal Advocates
  • Member, Board of Directors, Colorado Nonprofit Development Center, 2017-present
  • Member, Colorado General Counsel Group, 2015-2016
  • Member, Board of Directors, Jewish Community Centers of Denver, 2012-2016
  • Interim CEO, Urban Peak, 2012; Member, Board of Directors, Urban Peak, 2007-2013

 

Honors and Awards
  • Super Lawyers, Colorado
  • Best Lawyers in America, Commercial Litigation (2020)
  • Corporate Counsel Best Legal Department (Qwest Communications)
  • Director’s Award for Superior Performance as an Assistant U.S. Attorney
  • Special Achievement Award as an Assistant U.S. Attorney
  • Urban Peak Maverick Thinker Community Service Award
Previous Experience
  • General Counsel, Consumer/Small Business Services, ViaSat, Inc., 2013-2016
  • Counsel, CenturyLink, Inc., 2011-2013
  • Chief Ethics and Compliance Officer and Senior Vice President-Risk Management, Qwest Communications International Inc., 2009-2011
  • Senior Vice President and Deputy General Counsel, Qwest Communications International Inc., 2002-2009
  • Member, Litigation Group, Sherman & Howard L.L.C., 1996-2001; Chair of Litigation Group, 2001
  • Deputy Chief, Public Corruption & Government Fraud Section, United States Attorney’s Office, Central District of California, 1994-1996
  • Assistant United States Attorney, United States Attorney’s Office, Central District of California, 1988-1996