STEPHEN P. WILKES Email: StephenWilkes@Reish.com Steve is Of Counsel to the law firm of Reish & Reicher, specializing in securities regulation and employee benefits. Areas of Practice Employee Benefits Financial Services Professional Experience Steve has gained broad experience representing clients on matters involving employee benefits, taxation, and securities law, from both a regulatory and transactional perspective, for over thirty years. His practice today focuses mostly on investment management issues faced by the law firm’s clients, where ERISA and related securities, corporate, or banking laws intersect with regard to the creation and delivery of financial products and services. This involves fiduciary and disclosure rules; compensation and fee arrangements; revenue sharing programs; broker-dealer, investment adviser, and service provider agreements; structuring or distribution of retirement plan investments in mutual funds, ETF’s, collective funds, private equity funds, hedge funds; monitoring of proposed legislation and regulations, and regulatory compliance with agencies such as the SEC, DOL, IRS, FINRA, and OCC. Clients include plan sponsors, plan consultants, broker dealers, investment advisers, financial consultants, service providers, trust companies, banks, and private funds. Prior to joining Reish & Reicher, Steve has been a partner in national law firms, served as Assistant General Counsel for securities and employee benefit matters at a Fortune 500 company, and served as senior in-house counsel to a registered investment adviser/broker dealer. Publications and Presentations Steve has had numerous speaking engagements over the years before organizations such as the American Bar Association, New York City Bar Association, Texas Bar Association, CPA Society of NYC, Financial Analysts Society, Merrill Lynch San Francisco Roundtable, Goldman Sachs Retirement Plan Conference, Harvard Club of Dallas, Harvard Club of New York, ESOP Association, and the General Counsel Forum on varied ERISA and Investment Management matters. He has contributed as author or editor to numerous periodicals and journals, including The Business Lawyer. Education Steve received his B.A. degree from the University of Rhode Island, and a J.D./M.B.A. degree from Emory University. He is licensed to practice law in California, New York, Massachusetts and Texas. Local Phone Numbers Telephone: 415-453-2331 Fax: 415-453-2302