J. Steven Parker

J. Steven Parker, based in Canton, Georgia, excels in investment adviser and broker-dealer regulation and securities litigation and arbitration. As a partner in the firm's Regulatory Legal Practice Group, he represents individuals, broker-dealers, and investment advisers in various regulatory and enforcement issues. His expertise extends to assisting broker-dealers, registered representatives, and others in securities litigation and arbitration.

Mr. Parker provides counsel to both established and start-up investment advisers, including those required to register with the Securities and Exchange Commission or state regulatory bodies. The dynamic nature of this field demands a thorough understanding of federal and state laws, mandated forms, depositories, and filing procedures. He is well-versed in the formal and informal practices associated with examinations, audits, reporting, accounting, gatekeeping, advertising, custody, and related matters.

The firm offers comprehensive support, ranging from selecting a business entity and drafting governing documents to building a robust compliance framework, which includes written supervisory procedures. Mr. Parker also prepares clients for audits and defends against enforcement actions.