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J. Steven Parker

J. Steven Parker

Parker MacIntyre
  • Securities Law, Stockbroker & Investment Fraud, Business Law
  • Georgia
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Summary

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
  • Securities Law
  • Stockbroker & Investment Fraud
  • Business Law
Additional Practice Areas
  • Registered Investment Adviser Compliance
  • Broker Dealer Compliance
  • Securities Litigation and Regulation
  • Securities Enforcement
Fees
  • Credit Cards Accepted
    Accept Visa, MasterCard, Discover, and American Express
Jurisdictions Admitted to Practice
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
Languages
  • English
Professional Experience
Partner
Parker MacIntyre
Current
Partner
Page Perry
-
Director of the Securities Division
State of Georgia
-
Partner
Parker, Terry & Center
-
Associate
Kilpatrick & Cody
-
Education
The University of Georgia School of Law
J.D.
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.
Honors: Magna Cum Laude
Professional Associations
American Bar Association
State Securities Law and Regulation Liaison
Current
State Bar of Georgia
Member
Current
North American Securities Administrators Association
Member
-
Publications
Articles & Publications
Georgia Securities Act - Let the Buyer Beware
Georgia Bar Journal
Motions to Vacate: How Much Information Should Arbitrators Disclose?
PIABA Bar Journal
Websites & Blogs
Website
J. Steven Parker's RIA Compliance Website Profile
Website
Page Perry Website
Website
Parker MacIntyre - RIA Compliance Website
Blog
RIA Compliance Blog
Blog
Small Business Investment Lawyers
Social Media
Contact & Map
Parker MacIntyre
2987 Clairmont Rd
#200
Atlanta, GA 30329
USA
Toll-Free: (855) 322-2057
Telephone: (404) 490-4060
Fax: (404) 490-4058