About
J. Steven Parker has tremendous enjoy in the areas of funding adviser and broking provider regulation, as well as securities litigation and arbitration. As a companion within the firm’s Regulatory Practice Group, representing individuals, broker-dealers, and investment advisers in regulatory and enforcement matters. Additionally, he represents dealer-dealers, registered consultant and others in securities litigation and arbitration matters.
Mr. Parker advises existing and begin-up funding advisers, which includes advisers required to be registered with the Securities and Exchange Commission or with one or more country regulatory corporations. The landscape of law in this location of law is constantly shifting, requiring in maximum instances a complete know-how of both federal and state regulation and regulation, the usage of mandated forms, depositories and filing methods, and both formal and informal practices referring to examinations, audits, reporting, accounting, gate-keeping, advertising, custody and different topics. We can help with the whole thing from desire of enterprise entity and governing files, to constructing a compliance framework inclusive of written supervisory methods, to making ready for audits and protecting enforcement movements.
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Location
Legal Issues
- Securities Law
- Stockbroker & Investment Fraud
- Registered Investment Adviser Compliance
- Broker Dealer Compliance
- Securities Litigation and Regulation
- Securities Enforcement
Costs
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Payment With Credit Card
Accept Visa, MasterCard, Discover, and American Express
Certificates
Languages
- English
Accepted Jurisdictions
Experience
- Partner
Parker MacIntyre - Partner
Page Perry
2003 - Director of the Securities Division
State of Georgia
2000 - Partner
Parker, Terry & Center
1990 - Associate
Kilpatrick & Cody
1987
Educations
Graduation year: 1986
Graduation year: 1983
