J. Steven Parker

J. Steven Parker is a seasoned attorney with a focus on investment adviser and broker-dealer regulation, and securities litigation and arbitration. As a partner in the firm's Regulatory Practice Group, he adeptly represents individuals, broker-dealers, and investment advisers in both regulatory and enforcement matters. His expertise extends to representing broker-dealers, registered representatives, and others in securities-related litigation and arbitration.

Mr. Parker offers strategic advice to both established and start-up investment advisers, including those needing registration with the Securities and Exchange Commission or state regulatory bodies. Navigating the ever-evolving regulatory landscape requires a deep understanding of federal and state laws, mandated forms, depositories, and filing procedures. Mr. Parker provides comprehensive guidance on examinations, audits, reporting, accounting, gatekeeping, advertising, custody, and more.

From advising on business entity selection and governance documents to constructing compliance frameworks with written supervisory procedures, Mr. Parker is equipped to assist with audit preparation and enforcement defense.