J. Steven Parker

J. Steven Parker, a partner in the firm’s Regulatory Practice Group, brings a wealth of experience in investment adviser and broker-dealer regulation. He skillfully represents individuals, broker-dealers, and investment advisers in regulatory and enforcement matters. Additionally, he advocates for broker-dealers and registered representatives in securities litigation and arbitration.

Mr. Parker offers strategic advice to both existing and start-up investment advisers, including those required to register with the Securities and Exchange Commission or state regulatory agencies. His services encompass guidance on business entity selection, drafting governing documents, and establishing a robust compliance framework with written supervisory procedures.

The regulatory landscape for securities is ever-evolving, necessitating a deep understanding of both federal and state laws. Mr. Parker is proficient in navigating the complexities of mandated forms, depositories, filing procedures, and practices related to examinations, audits, reporting, accounting, gate-keeping, advertising, and custody.

His expertise ensures clients are well-prepared for audits and equipped to defend against enforcement actions, providing comprehensive support in this dynamic area of law.