STEPHEN S. WERNER, ESQ. LL.M.

Associate Attorney

Attorney Stephen S. Werner joined Scaringi Law in January of 2017 as an Associate Attorney. Attorney Werner is based in our Harrisburg, Dauphin County Pennsylvania office. Werner over four years of legal experience practicing in tax law, individual, partnership, corporate and international tax, business formations and transactions, both domestic and international business law, insurance law and litigation, securities law, regulation and litigation, representation of licensed broker-dealers and registered investment advisers, estate planning, estate administration and elder law among other major practice areas.

Attorney Werner has developed a niche practice representing investment advisors and broker-dealers in regulatory and licensing matters. Werner developed extensive experience and knowledge of this practice are during his ten years as a Securities Compliance Examiner with the Pennsylvania Securities Commission, and his six years as a FINRA Member Broker-Dealer, and SEC Registered Investment Advisor.

Prior to joining Scaringi Law, Attorney Werner managed his own law practice in which he represented businesses and individuals in tax advice and litigation, lease and contractual negotiations, construction contracts, insurance law and litigation, securities and investment law, banking and financial law, business formations, international commercial law and other regulatory and professional licensing matters.

Prior to opening his own law practice, Attorney Werner clerked for The Honorable Scott A. Evans, Judge of the Dauphin County Court of Common Pleas.

Attorney Werner speaks fluent Korean, and has lived, and worked abroad. His clients also benefit from his distinguished pre-law career in the investment field as a FINRA Member Broker-Dealer, and SEC Registered Investment Advisor.

Areas of Practice

  • Securities Law
  • Tax Law – Domestic and International
  • Business Law – Domestic and International
  • Investment Broker-Dealer Law and Regulator Compliance
  • SEC Compliance
  • Insurance Law
  • Estate Planning & Asset Protection

Education

  • Villanova University School of Law
    • LLM, 2017, Taxation Law
  • Widener University School of Law, Harrisburg, PA
    • J.D., 2013
    • Honors: Cum Laude
  • Brigham Young University, Provo, Utah
  • B.A., 1989
  • Major: International Business Management (Finance)

Past Employment Positions

  • Werner Law Group, Harrisburg, 2013 – 2017
  • NYLIFE Securities, LLC, FINRA Broker-Dealer, 2006-Present
  • The Honorable Scott A. Evans, Judge, Dauphin County Court of Common Pleas, Harrisburg, 2011-2013
  • Law Firm of Kim & Jung, South Korean, 2012
  • Pennsylvania Securities Commission, Harrisburg, PA ,1996-2006
  • Coryo Securities Corporation, Seoul, South Korea, 1992-1994
  • Korea Exchange Bank, Seoul, South Korea, 1991-1992
  • Korea Exchange Bank, New York, NY, 1990

Bar Admissions

  • Pennsylvania, 2013

Professional Associations and Memberships

  • Pennsylvania Bar Association

Other Licenses & Skills

  • Insurance License (Producer License)
  • Financial Industry Regulatory Authority (FINRA) Licenses
    • Investment Adviser Representative (Series 66)
    • Municipal Securities Principal (Series 53)
    • General Securities – Stock Broker (Series 7)
    • Securities Principal – Supervisory (Series 24)
  • Second Language: Korean (Fluent)

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