J. Steven Parker

J. Steven Parker is a seasoned attorney based in Knoxville, Tennessee, with significant expertise in investment adviser and broker-dealer regulation. As a partner in the firm's Regulatory Practice Group, he represents individuals, broker-dealers, and investment advisers in various regulatory and enforcement matters. His practice also extends to representing broker-dealers, registered representatives, and others involved in securities litigation and arbitration.

Mr. Parker provides counsel to both established and start-up investment advisers, including those required to register with the Securities and Exchange Commission or state regulatory bodies. Navigating the complex and evolving regulatory landscape demands a thorough understanding of both federal and state laws, as well as the necessary forms, depositories, and filing procedures. His guidance encompasses examinations, audits, reporting, accounting, gate-keeping, advertising, and custody matters.

Mr. Parker assists clients with choosing business entities, drafting governing documents, constructing 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 and compliant with regulatory expectations.