RIA Compliance Lawyer

Why Choose Parker MacIntyre?

Parker MacIntyre, an Atlanta-based law firm, practices in the areas of securities, securities regulations, investment adviser regulation, broker-dealer regulation, litigation and arbitration. Some of our attorneys also spent many years working as securities regulators -- examining firms, hearing and ruling on customer complaints, and bringing regulatory actions in court. Our RIA compliance lawyers therefore know the financial services industry from the inside and the outside.

Some of the best-known brokerage firms and investment advisers in the United States have selected us to represent them and to serve as special advisers. As these firms know, the skills and specialized knowledge our lawyers and other professionals developed while serving as regulators and regulatory counsel are the same ones necessary to advise and build a compliance-oriented, client-first financial services firm. We use these same skills to effectively represent firms against charges of wrongdoing.

Legal Services for Registered Investment Advisers, Hedge Funds, Broker-Dealers and Other Financial Service Providers

We can help you put or keep your house in order to prevent or minimize regulatory action and customer complaints. If you are thinking of starting a new investment firm or fund, we can get you established. We can help you contract with associates, vendors, solicitors, partners, and others to maximize efficiency and assure compliance. If you are the subject of regulatory scrutiny or a customer complaint, our RIA compliance lawyers are uniquely positioned to forcefully and sincerely advocate your position. 

Who We Are:

Parker MacIntyre represents investment advisers, broker-dealers, pooled investment vehicles, registered representatives and others with respect to matters involving business formation, compliance, contracts, and all of the many other legal challenges faced by firms and persons in the investment services arena.

The financial services industry is one of the most stringently regulated areas of business in the United States, and sweeping changes of recent years -- including the Dodd Frank Act and regulations adopted pursuant to that Act -- have made compliance more difficult. Companies and individuals participating in the financial services industry are subject to various overlapping and cumulative federal and state laws and to regulation by the United States Securities and Exchange Commission, securities commissioners of all states in which they conduct business and, for securities brokers and representatives, the Financial Industry Regulatory Authority (FINRA). Only constant, competent and dedicated legal advice and representation can prevent financial services industry participants from running afoul of this complex legal and regulatory structure.

Parker MacIntyre regularly advises its clients with respect to issues including formation, regulation, reporting, advertising, supervision, and policies and procedures. Additionally, Parker MacIntyre has assisted clients in negotiation of asset purchase, stock purchase, and merger agreements. Federal or state regulations are implicated in a wide variety of situations that arise in the normal course of business. It is important to have experienced counsel to deal with such issues.

If questions or accusations of non-compliance are levied by regulatory authorities, aggrieved investors or law enforcement authorities, it is essential that regulatory counsel be engaged immediately.

Parker MacIntyre RIA compliance attorneys have extensive experience in the securities regulatory arena. They have served as regulators and attorneys for regulators. They have represented companies and individuals in investigations and proceedings brought by the SEC, NASD (now FINRA) and many state securities regulators. Parker MacIntyre brings knowledge, experience and dedication to representing their clients in these areas. We are qualified and prepared to assist securities industry participants to avoid regulatory problems and to help them resolve any securities regulatory issues that might arise.