J. Steven ParkerPartner
Mr. Parker has extensive experience in the areas of investment adviser and broker dealer regulation, as well as securities litigation and arbitration. He is 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.
From 2001 to 2003, Mr. Parker served as the Director of the Securities Division of the State of Georgia. While in that position, he worked closely with other state regulators in developing a best practices model for examinations of investment advisers subject to state regulation. He also regularly worked with FINRA and SEC task forces on matters of broad regulatory interests, from examinations and “sweeps” to multi-jurisdictional enforcement activity.
Mr. Parker was a member of the North American Securities Administrators Association from 2001 to 2003, serving on its Enforcement Section Committee during 2002 and 2003. Additionally, he served on tasks forces investigating sales practices relating to viatical investments and variable annuities. He regularly interacted with securities regulators of all 50 states, the District of Columbia, Puerto Rico and Canada. He is presently the State Securities Law and Regulation Liaison for the American Bar Association.
Prior to joining the Georgia Securities Division, he was a Partner in the Decatur, Georgia law firm of Parker, Terry and Center. He was an Associate at Kilpatrick & Cody (now Kilpatrick Stockton) in Atlanta from 1987 to 1990.
Mr. Parker received a B.A. degree from Furman University in Greenville, South Carolina (1983, magna cum laude), and a J.D. degree from the University of Georgia School of Law (1986, magna cum laude). He was Recent Developments Editor of the Georgia Journal of International and Comparative Law (1985-86) and a member of the Order of the Coif (1986). Upon graduation from law school, Mr. Parker served as a Law Clerk to the Honorable Dudley H. Bowen of the U.S. District Court for the Southern District of Georgia.
Mr. Parker is licensed to practice law in Georgia, is a member of the Business Law Section of the State Bar of Georgia and is admitted to practice before all Georgia Courts, the U.S. District Courts for the Northern and Southern Districts of Georgia, and the Eleventh U.S. Circuit Court of Appeals.