Stefan D. Stein

Member

Denver, Colorado

Phone: 303.299.8146

Fax: 303.298.0940

sstein@shermanhoward.com

Education

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

Stefan Stein 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.

Stefan currently serves as the firm’s Chief Executive Officer and as a member of the Executive Committee.

Experience

GOVERNMENT INVESTIGATIONS, INTERNAL CORPORATE INVESTIGATIONS, & 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 (DOJ), the Securities and Exchange Commission (SEC), and the General Services Administration, and (ii) securities class actions, shareholder opt-out claims, and shareholder derivative actions.

 

CORPORATE ETHICS & 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, & 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 & 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

  • American Bar Association
  • Colorado Bar Association
  • Denver Bar Association
  • Faculty of Federal Advocates
  • Board Member, Citizen Oversight Board, City of Denver
  • Vice-Chair and Chair of Nominating & Governance Committee, Colorado Nonprofit Development Center
  • Former Member, Colorado General Counsel Group
  • Former Board Member and Chair of Governance Committee, Jewish Community Center of Denver
  • Urban Peak
    • Former Interim CEO
    • Former Board Chair

Highlights

  • Super Lawyers, Colorado
  • Best Lawyers in America, Commercial Litigation (2020-2022); Litigation – Securities (2022), Denver
  • 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
  • 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)
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