About J. Steven Parker
J. Steven Parker, located in Gastonia, North Carolina, is a highly experienced attorney focusing on investment adviser and broker-dealer regulation and securities litigation and arbitration. As a partner in the firm's Regulatory Practice Group, he provides expert representation for individuals, broker-dealers, and investment advisers facing regulatory and enforcement challenges.
Mr. Parker's practice extends to advising both established and start-up investment advisers, including those required to register with the Securities and Exchange Commission or various state regulatory agencies. The dynamic nature of this legal area demands a thorough understanding of federal and state laws, mandated forms, depositories, filing procedures, and practices related to examinations, audits, reporting, accounting, gate-keeping, advertising, and custody.
His services encompass guidance on business entity selection, development of governing documents, construction of compliance frameworks with written supervisory procedures, audit preparation, and defense against enforcement actions. Mr. Parker's expertise ensures clients are well-prepared to navigate the complexities of regulatory requirements.
The information on this page is for general informational purposes only and does not constitute legal advice. Consult a licensed attorney for advice about your situation.
Practice Areas
North Carolina Car Accident Laws
Understanding North Carolina's accident laws is critical when pursuing a claim. Here are the key legal rules that apply to your case:
Statute of Limitations
3 years
Time limit to file a claim
Negligence Rule
contributory negligence
How fault is determined
Min. Insurance (BI/PD)
$30K/$60K/$25K
Per person/per accident/property
Insurance System
At-Fault
At-fault driver's insurance pays
Frequently Asked Questions
What areas of law does J. Steven Parker specialize in?
J. Steven Parker specializes in investment adviser and broker-dealer regulation, as well as securities litigation and arbitration.
Where is J. Steven Parker located?
J. Steven Parker is based in Gastonia, North Carolina.
What services does J. Steven Parker offer to investment advisers?
He advises on business entity selection, compliance frameworks, audit preparation, and enforcement action defense.
Who does J. Steven Parker represent in regulatory matters?
He represents individuals, broker-dealers, and investment advisers in regulatory and enforcement matters.
How does J. Steven Parker assist with regulatory compliance?
He provides guidance on federal and state laws, mandated forms, and filing procedures, ensuring comprehensive compliance.
Contact Information
Need Legal Help?
Contact J. Steven Parker for a free consultation about your accident case.
Call for Free ConsultationAfter an Accident
- 1Seek immediate medical attention
- 2Document the scene & gather evidence
- 3File a police report
- 4Don't speak to insurance adjusters alone
- 5Contact J. for a free case review
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