STEPHEN S. WERNER, ESQ. LL.M.

Associate Attorney

Attorney Stephen S. Werner joined Scaringi Law in January of 2017 as an Associate Attorney. He is based in our Harrisburg, Dauphin County, Pennsylvania office.

Attorney Werner focuses heavily in tax law, including individual, small business, partnership, corporate, and international tax, as well as business formations and transactions. He also focuses on bankruptcy, domestic and international business law (including Korea-US international business law), immigration law (particularly involving immigration between Korea and the US), insurance law and litigation, securities law, regulation and litigation, especially representation of licensed broker-dealers and registered investment advisers, and estate planning, estate administration, and elder law. Attorney Werner is also one of our in-house registered tax preparers. He is admitted to practice in jurisdictions of Pennsylvania and New Jersey, as well as the United States Middle District of Pennsylvania, the United States Easter District of Pennsylvania, the United States Middle District Bankruptcy Court, the United States Tax Court, and the United States Immigration Court.

Attorney Werner has developed a niche practice representing investment advisors and broker-dealers and agents in regulatory and licensing matters. Attorney Werner developed extensive experience and knowledge of this practice during his ten years as a Securities Compliance Examiner with the Pennsylvania Securities Commission, where he enforced the securities laws and regulations, and eleven years employed as a legal and compliance specialist and producer with a FINRA Member Broker-Dealer and SEC Registered Investment Advisor, enforcing securities and insurance laws, regulations, policies and procedures in-house.

Prior to joining Scaringi Law, Attorney Werner managed his own law practice in which he represented businesses and individuals in tax law, litigation, lease and contract 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. His law practice benefits greatly from his distinguished background in finance, investment banking, and international securities, including employment with a FINRA Member Broker-Dealer and SEC-Registered Investment Advisor, dating back to 1996. Internationally, Attorney Werner was employed by an international bank, handling international documentary letter-of-credit operations. He also performed international securities analysis for international investment purposes, for an international securities firm.

Attorney Werner secured his J.D. degree in 2013, graduating Cum Laude, from the Widener University School of Law, in Harrisburg, PA.

Additionally, he furthered his tax expertise by obtaining his LL.M in Taxation Law, from Villanova University School of Law in 2017.

Attorney Werner speaks fluent Korean, and has deep roots and connections in the Korean-American community and in the Republic of Korea, though he, himself, is not Korean. He spent some time in 2012 working for a Korean law firm in Seoul, and studied international law in Seoul at the Sunkkyunkwan Law School.

Attorney Werner, in addition to holding a license to practice law, also possesses several FINRA licenses in conjunction with his long history of employment in the Securities and Insurance industries, including FINRA Series 7, 24, 66, and 53, as well as Life, Accident, and Health insurance producer licenses. Attorney Werner is an aviation enthusiast, and has earned his FAA Private Pilot License and flies single-engine airplanes.

Areas of Practice

  • Securities Law
  • Tax Law – Domestic and International
  • Registered Tax Preparer with e-file capabilities
  • Bankruptcy
  • Business Law – Domestic and International - Including Korea-US international business
  • Securities, Broker-Dealer, Investment Advisory Regulation and Compliance
  • SEC and FINRA Compliance
  • Immigration Law - Including Korea-US Immigration
  • Insurance Law
  • Estate Planning & Asset Protection
  • Estate Administration
  • ERISA Law
  • Financial Services Regulation and Compliance
  • FAA Regulation

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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