Jackson County Securities Lawyers

Richard S. Frankowski is the owner of The Frankowski Firm, LLC based in Birmingham, Alabama and Incline Village, Nevada. Mr. Frankowski has represented hundreds of investors around the country in FINRA arbitrations and in court. His practice focuses on stock broker fraud, consumer class actions, and direct and derivative shareholder litigation. He is an AV Preeminent-rated attorney by Martindale Hubbell and is a member of the Alabama and Florida Bars, as well as a member of the American Bar Association, the American Association for Justice, and National Trial Lawyers. Mr. Frankowski co-authored The Practitioner's Guide to...

Mr. Gort specializes in providing regulatory and compliance-related services to registered investment advisers (“RIAs”). At Parker MacIntyre, Mr. Gort manages the day to day task of keeping track of regulatory deadlines for all of the firm’s RIA clients and oversees the work of other Parker MacIntyre associates. In this role, Mr. Gort routinely drafts Investment Advisory Agreements for RIAs, disclosure documents (including Form ADV Parts 1 and 2, Form U4 and point of sale disclosures), compliance manual procedures and other ancillary documents for RIAs.

Mr. Gort has accumulated experience since 2013 in creating legal solutions for problems registered investment advisers...

James P. Galvin is the founder of Galvin Legal. He is a member of the Florida Bar and the State Bar of Georgia. He graduated from Georgia State University in Atlanta, Georgia with a Bachelor of Business Administration degree in Finance. He obtained his Juris Doctor from the University of Miami School of Law in Coral Gables, Florida. At the University of Miami, he completed the litigation skills program, which included serving as a Certified Legal Intern with the Miami-Dade State Attorney’s Office. Mr. Galvin actively participated in the Investor Rights Clinic as a Certified Legal Intern, Returning Fellow,...

Mrs. Klusmeyer specializes in providing legal advice and compliance support to registered investment adviser clients. During her time at Parker MacIntyre since 2016 she has provided compliance guidance to investment adviser and broker-dealer clients, assisted with various regulatory filings, drafted compliance policies and procedures, drafted agreements, helped prepare responses to SEC and state examinations, and represented clients in FINRA arbitration.

Mrs. Klusmeyer maintains familiarity and competence regarding recent developments in securities rules, the Financial Industry Regulatory Authority, and regulations from federal and state regulators, including the Securities and Exchange Commission and the Department of Labor. She has helped clients implement...

Jeff Bekiares is an attorney with over ten years of experience in general corporate, capital raising and securities laws practice. He began his career at a great Atlanta law firm, practicing there for over six years before leaving large firm life to become the Co-founder, COO and General Counsel of SparkMarket, a Georgia based crowdfunding platform. He has worked with clients at a variety of stages: from start-ups, to emerging growth to exchange listed public companies. He specializes in entity formation, governance, operating and shareholders agreement, commercial contract drafting, mergers & acquisitions, capital raising and all manner of transactional...

Maggie Heim represents clients in complex litigation matters in both the Federal and State court systems. She has earned a reputation as a skilled advocate who is unwilling to accept less than the best result for her clients. Maggie has been recognized for excellence in the practice of law by numerous independent attorney rating services, including Super Lawyers, the Daily Report, Martindale-Hubbell, Legal Elite, and Avvo.

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...

Mr. Herman has spent 30 years representing clients in high stakes litigation involving intellectual property, securities, class actions, antitrust and high tech disputes. He has litigation in federal and state courts across the United States and achieved significant success for his clients. He is regularly appointed as lead counsel in a variety of class action cases. See www.hermanjones.com for more information.