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About J. 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.
Practice Areas
Credentials
Education
- The University of Georgia School of Law
- J.D.
- Furman University
- B.A.
Bar Admissions
- State Bar of Georgia
- Member
- American Bar Association
- State Securities Law and Regulation Liaison
- North American Securities Administrators Association
- Member
Professional Experience
- 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
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