J. Steven Parker

J. Steven Parker has extensive experience in the areas of investment adviser and broker dealer regulation, as well as securities litigation and arbitration. As a partner in the firm’s Regulatory Practice Group, representing individuals, broker-dealers, and investment advisers in regulatory and enforcement matters. Additionally, he represents broker-dealers, registered representative and others in securities litigation and arbitration matters.
Mr. Parker advises existing and start-up investment advisers, including advisers required to be registered with the Securities and Exchange Commission or with one or more state regulatory agencies. The landscape of regulation in this area of law is constantly shifting, requiring in most instances a comprehensive knowledge of both federal and state law and regulation, the use of mandated forms, depositories and filing procedures, and both formal and informal practices relating to examinations, audits, reporting, accounting, gate-keeping, advertising, custody and other matters. We can help with everything from choice of business entity and governing documents, to constructing a compliance framework including written supervisory procedures, to preparing for audits and defending enforcement actions.

The University of Georgia School of Law

J.D.

1986

Honors: magna cum laude

Activities: Recent Developments Editor of the Georgia Journal of International and Comparative Law (1985-86) and a member of the Order of the Coif (1986).

Furman University

B.A.

1983

Honors: Magna Cum Laude

Partner

Parker MacIntyre

Current

Partner

Page Perry

2003 - 2013

Director of the Securities Division

State of Georgia

2000 - 2003

Partner

Parker, Terry & Center

1990 - 1997

Associate

Kilpatrick & Cody

1987 - 1990

Georgia Securities Act - Let the Buyer Beware

Georgia Bar Journal

Motions to Vacate: How Much Information Should Arbitrators Disclose?

PIABA Bar Journal

2006

American Bar Association

State Securities Law and Regulation Liaison

Current

State Bar of Georgia

Member

Current

North American Securities Administrators Association

Member

2001 - 2003

Georgia

11th Circuit

U.S. District Courts for the Eastern District of Michigan

U.S. District Courts for the Northern Districts of Georgia

U.S. District Courts for the Southern Districts of Georgia

• Free Consultation
• Credit Cards Accepted
  Accept Visa, MasterCard, Discover, and American Express

• Registered Investment Adviser Compliance
• Broker Dealer Compliance
• Securities Litigation and Regulation
• Securities Enforcement