RIA Compliance Lawyer

About Parker MacIntyre

Parker MacIntyre is an Atlanta-based law firm with a national practice in many of its core subject matter areas, which include securities, securities regulation, investment adviser regulation, broker-dealer regulation, litigation and arbitration.

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

The financial services industry is one of the most stringently regulated areas of business in the United States and sweeping changes in recent years 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 (SEC), 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 the rules in this complex legal and regulatory environment.

Knowledge of and practical experience with securities compliance issues is our core strength. Many of our attorneys have spent many years working as securities regulators -- examining broker-dealers, investment advisers and other financial firms and market participants, hearing and ruling on customer complaints, reviewing securities offerings and bringing regulatory enforcement actions. Our lawyers know the financial services industry from both the inside and the outside.

We use these skills to effectively represent firms that are being investigated by regulatory agencies, such as the SEC and FINRA, or against whom regulatory charges have been made, whether in court or through administrative proceedings. If questions or accusations of non-compliance are levied by regulatory authorities or aggrieved clients or investors, it is essential that experienced and knowledgeable counsel be engaged immediately. If you are the subject of regulatory scrutiny or a customer complaint, our compliance lawyers are uniquely positioned to forcefully and sincerely advocate your position.

Some of the best-known brokerage firms and investment advisers in the United States have selected us to represent and advise them. As these firms know, the skills and specialized knowledge our lawyers and other professionals have 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. 

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 these issues.

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 your firm contract with associates, vendors, solicitors, partners, and others to maximize efficiency and assure compliance. 

Parker MacIntyre also frequently assists small businesses and other companies in evaluating efficient and compliant ways to raise capital through the offering of securities. Whether you are an operating company that needs startup or growth capital, an investment company such as a hedge fund seeking investors, or another type of company with financing needs, Parker MacIntyre can identify and help you implement workable solutions.