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.