J. Steven Parker

J. Steven Parker offers extensive expertise in the fields of investment adviser and broker-dealer regulation, alongside securities litigation and arbitration. As a partner in the firm's Regulatory Practice Group, he represents individuals, broker-dealers, and investment advisers in a variety of regulatory and enforcement matters. His practice includes defending broker-dealers, registered representatives, and others in complex securities litigation and arbitration cases.

Mr. Parker provides guidance to both established and start-up investment advisers, including those who must register with the Securities and Exchange Commission or state regulatory bodies. Navigating the ever-evolving regulatory environment requires a deep understanding of federal and state laws, mandated forms, depositories, and filing procedures. His knowledge extends to examinations, audits, reporting, accounting, gate-keeping, advertising, custody, and more.

His services encompass advising on business entity selection, drafting governing documents, building compliance frameworks with written supervisory procedures, and preparing for audits. He is also adept at defending against enforcement actions, ensuring his clients are well-prepared to meet regulatory challenges.